John James Roberts
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for John James Roberts ( ), a licensed former licensee with CE reference AQF225. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | 2017-01-13 | 2019-05-07 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-01-13 | 2017-08-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-01-13 | 2019-05-07 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
RO | Type 4 — Advising on securities | 2017-01-13 | 2019-05-07 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2017-01-13 | 2017-08-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
RO | Type 5 — Advising on futures contracts | 2017-01-13 | 2019-05-07 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2013-07-04 | 2017-01-13 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | 2008-01-02 | 2017-01-13 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2008-01-02 | 2017-01-13 |