Joel Graeme James
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joel Graeme James, a licensed former licensee with CE reference AWS778. This person has 11.7 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ICAP Securities Hong Kong Limited | RO | Type 1 - Dealing in securities | 2018-10-01 | 2022-09-30 |
| ICAP Securities Hong Kong Limited | RO | Type 2 - Dealing in futures contracts | 2018-10-01 | 2022-09-30 |
| ICAP Securities Hong Kong Limited | RO | Type 1 - Dealing in securities | 2015-01-06 | 2018-09-30 |
| ICAP Securities Hong Kong Limited | RO | Type 2 - Dealing in futures contracts | 2015-01-06 | 2018-09-30 |
| ICAP Equities Asia Limited | RO | Type 1 - Dealing in securities | 2014-06-24 | 2018-09-30 |
| ICAP Equities Asia Limited | RO | Type 2 - Dealing in futures contracts | 2014-03-10 | 2018-09-30 |
| ICAP Equities Asia Limited | Rep | Type 1 - Dealing in securities | 2011-01-28 | 2014-06-24 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Joel Graeme James during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.