James Andrew Vandermere Fleming
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Andrew Vandermere Fleming, a licensed former licensee with CE reference AXH673. This person has 7.0 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2011-06-15 | 2018-06-22 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2011-06-15 | 2018-06-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2011-06-15 | 2018-06-22 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2011-06-15 | 2018-06-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2011-06-15 | 2018-06-22 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2011-06-15 | 2018-06-22 |