James Raymond Austin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Raymond Austin ( ), a licensed former licensee with CE reference AVQ934. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-10-05 | 2019-07-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2010-09-06 | 2019-07-02 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-09-06 | 2010-12-16 |