James Dawson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Dawson, a licensed former licensee with CE reference BCA004. This person has less than 0.1 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2019-05-16 | 2019-05-17 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2018-07-30 | 2018-07-30 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2017-05-10 | 2017-05-11 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2016-09-21 | 2016-09-22 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2016-01-18 | 2016-01-20 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2015-11-10 | 2015-11-11 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2015-07-23 | 2015-07-24 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2014-05-08 | 2014-05-08 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2013-10-23 | 2013-10-25 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as James Dawson during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.