James Alexander Simmons
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Alexander Simmons ( ), a licensed former licensee with CE reference APB737. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-08-18 | 2021-07-08 |
| Enhanced Investment Products Limited 易亞投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2010-07-08 | 2012-07-31 |
| Enhanced Investment Products Limited 易亞投資管理有限公司 |
Rep | Type 5 — Advising on futures contracts | 2010-07-08 | 2012-07-31 |
| Enhanced Investment Products Limited 易亞投資管理有限公司 |
Rep | Type 9 — Asset management | 2010-07-08 | 2012-07-31 |
| Giga (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2008-04-21 | 2010-04-16 |
| Giga (Hong Kong) Limited | Rep | Type 9 — Asset management | 2008-04-10 | 2010-04-16 |
| Pine River Capital Management (HK) Limited | Rep | Type 9 — Asset management | 2007-10-08 | 2008-03-10 |
| Enhanced Investment Products Limited 易亞投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2007-06-11 | 2007-08-17 |
| Enhanced Investment Products Limited 易亞投資管理有限公司 |
Rep | Type 5 — Advising on futures contracts | 2007-06-11 | 2007-08-17 |
| Enhanced Investment Products Limited 易亞投資管理有限公司 |
Rep | Type 9 — Asset management | 2007-06-11 | 2007-08-17 |