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. Total licence records on file: 9.
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 |