Todd Howard James
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Todd Howard James ( ), CE reference AVX425. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Differ Asset Management Company Limited |
RO | Type 9 — Asset management | 2018-03-01 | 2023-08-09 |
| Differ Financial and Securities Limited 鼎豐金融證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-02-13 | 2019-02-28 |
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-12-02 | 2015-03-26 |
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-12-02 | 2015-03-26 |
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 9 — Asset management | 2013-12-02 | 2015-03-26 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2011-03-14 | 2012-10-04 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
RO | Type 4 — Advising on securities | 2011-03-14 | 2012-10-04 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
RO | Type 9 — Asset management | 2011-03-14 | 2012-10-04 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
Rep | Type 9 — Asset management | 2011-01-21 | 2011-03-14 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-20 | 2011-03-14 |
| BSI Investment Advisors (Hong Kong) Limited 瑞意投資顧問(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-09-20 | 2011-03-14 |