William James Roland Nicholls
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for William James Roland Nicholls ( ), a licensed former licensee with CE reference APJ504. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2021-01-22 | 2023-03-06 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2021-01-22 | 2023-03-06 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2009-02-25 | 2009-06-01 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2007-08-08 | 2008-12-01 |
| Macquarie Equities (Asia) Limited 麥格理證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-08-08 | 2008-12-01 |