James Richard Chapman
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Richard Chapman ( ), a licensed former licensee with CE reference ALS060. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-06-08 | 2013-07-19 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-06-08 | 2013-07-19 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2008-11-04 | 2009-03-06 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2008-11-04 | 2009-03-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2008-10-09 | 2009-03-06 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2008-10-09 | 2009-03-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2008-10-09 | 2009-03-06 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2008-10-09 | 2009-03-06 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 - Advising on securities | 2005-02-07 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2005-02-07 | 2008-09-29 |