James Samuel Levy
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
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| 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 |