James Robert Kirkby Maddocks
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Robert Kirkby Maddocks ( ), a licensed former licensee with CE reference BBU657. Total licence records on file: 10.
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 | 2017-03-20 | 2017-06-19 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-03-20 | 2017-06-19 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-02-01 | 2016-08-26 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-02-01 | 2016-08-26 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2014-01-20 | 2016-04-29 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-01-20 | 2016-07-29 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2014-01-20 | 2016-04-29 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2013-09-17 | 2013-12-17 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-09-17 | 2013-12-17 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2013-09-17 | 2013-12-17 |