Paul Findlay
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Paul Findlay, a licensed former licensee with CE reference AWU885. This person has 4.4 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2013-06-20 | 2015-07-23 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2013-06-20 | 2015-07-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-03-01 | 2013-06-20 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2011-03-01 | 2015-07-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2011-03-01 | 2013-06-20 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2011-03-01 | 2015-07-23 |