James Ji-Kin Lumsdaine
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Ji-Kin Lumsdaine ( ), a licensed former licensee with CE reference AON376. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| PacBridge Capital Partners (HK) Limited |
RO | Type 6 — Advising on corporate finance | 2014-02-11 | 2016-01-27 |
| PacBridge Capital Partners (HK) Limited |
Rep | Type 6 — Advising on corporate finance | 2011-05-18 | 2014-02-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-04-18 | 2011-04-19 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2007-04-18 | 2011-04-19 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2007-04-18 | 2011-04-19 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2007-04-18 | 2011-04-19 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2007-04-18 | 2011-04-19 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2007-04-18 | 2011-04-19 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2007-02-05 | 2007-03-10 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-02-05 | 2007-03-10 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2007-02-05 | 2007-03-10 |