Johannes Konrad Roth
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Johannes Konrad Roth ( ), a licensed former licensee with CE reference BAX629. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2016-03-30 | 2022-11-02 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2016-03-30 | 2022-11-02 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 - Advising on corporate finance | 2016-03-30 | 2022-11-02 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2013-02-27 | 2013-09-27 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2013-02-27 | 2013-09-27 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 - Advising on corporate finance | 2013-02-27 | 2013-09-27 |