James Roderick Moon
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Roderick Moon ( ), a licensed former licensee with CE reference AYI545. Total licence records on file: 2.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Research Limited 海通國際研究有限公司 |
Rep | Type 4 - Advising on securities | 2018-10-30 | 2022-10-21 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2011-10-27 | 2013-03-29 |