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. Total licence records on file: 7.
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 |