James Samuel Levy

CE No. AWY377 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Samuel Levy (), a licensed former licensee with CE reference AWY377. Total licence records on file: 22.

Licence history

FirmRoleRegulated activityFromTo
HSBC Global Asset Management (Hong Kong) Limited RO Type 1 — Dealing in securities 2012-06-12 2021-10-06
HSBC Investment Funds (Hong Kong) Limited RO Type 1 — Dealing in securities 2012-06-12 2021-10-06
HSBC Global Asset Management (Hong Kong) Limited RO Type 4 — Advising on securities 2012-06-12 2021-10-06
HSBC Global Asset Management (Hong Kong) Limited Rep Type 1 — Dealing in securities 2012-03-16 2012-06-12
HSBC Investment Funds (Hong Kong) Limited Rep Type 1 — Dealing in securities 2012-03-16 2012-06-12
HSBC Global Asset Management (Hong Kong) Limited Rep Type 4 — Advising on securities 2012-03-16 2012-06-12
HSBC Global Asset Management (Hong Kong) Limited RO Type 1 — Dealing in securities 2011-08-17 2012-03-16
HSBC Investment Funds (Hong Kong) Limited RO Type 1 — Dealing in securities 2011-08-17 2012-03-16
Halbis Capital Management (Hong Kong) Limited RO Type 1 — Dealing in securities 2011-08-17 2011-12-31
HSBC Global Asset Management (Hong Kong) Limited RO Type 2 — Dealing in futures contracts 2011-08-17 2021-10-06
Halbis Capital Management (Hong Kong) Limited RO Type 2 — Dealing in futures contracts 2011-08-17 2011-12-31
HSBC Global Asset Management (Hong Kong) Limited RO Type 4 — Advising on securities 2011-08-17 2012-03-16
Halbis Capital Management (Hong Kong) Limited RO Type 4 — Advising on securities 2011-08-17 2011-12-31
HSBC Global Asset Management (Hong Kong) Limited Rep Type 1 — Dealing in securities 2011-03-08 2011-08-17
HSBC Investment Funds (Hong Kong) Limited Rep Type 1 — Dealing in securities 2011-03-08 2011-08-17
Halbis Capital Management (Hong Kong) Limited Rep Type 1 — Dealing in securities 2011-03-08 2011-08-17
Halbis Capital Management (Hong Kong) Limited Rep Type 2 — Dealing in futures contracts 2011-03-08 2011-08-17
HSBC Global Asset Management (Hong Kong) Limited Rep Type 2 — Dealing in futures contracts 2011-03-08 2011-08-17
HSBC Global Asset Management (Hong Kong) Limited Rep Type 4 — Advising on securities 2011-03-08 2011-08-17
Halbis Capital Management (Hong Kong) Limited Rep Type 4 — Advising on securities 2011-03-08 2011-08-17
HSBC Global Asset Management (Hong Kong) Limited Rep Type 9 — Asset management 2011-03-08 2021-10-06
Halbis Capital Management (Hong Kong) Limited Rep Type 9 — Asset management 2011-03-08 2011-12-31

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