James Stephen McCafferty
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Stephen McCafferty ( ), a licensed former licensee with CE reference BAM438. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2023-02-09 | 2023-03-31 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 4 — Advising on securities | 2015-09-29 | 2023-02-09 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-08-12 | 2015-09-29 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 4 — Advising on securities | 2013-01-17 | 2014-09-08 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 4 — Advising on securities | 2012-11-19 | 2013-01-17 |