Christopher Andrew James
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Christopher Andrew James ( ), a licensed former licensee with CE reference AXC903. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2014-06-16 | 2019-09-12 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-06-16 | 2019-09-12 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 - Providing automated trading services | 2013-07-24 | 2014-03-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-04-08 | 2014-03-17 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2011-04-08 | 2014-03-17 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2011-04-08 | 2014-03-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2011-04-08 | 2013-07-24 |