James Anthony Crispin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Anthony Crispin ( ), a licensed former licensee with CE reference ANU647. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2013-05-13 | 2018-10-05 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 4 — Advising on securities | 2013-05-13 | 2018-10-05 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2010-07-05 | 2013-02-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-07-05 | 2013-02-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2010-07-05 | 2013-02-01 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2010-07-05 | 2013-02-01 |
| HSBC Securities (Asia) Limited | RO | Type 1 — Dealing in securities | 2009-02-16 | 2010-04-29 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2009-02-16 | 2010-04-29 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-08-18 | 2009-02-16 |