James Derek Austin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Derek Austin ( ), a licensed former licensee with CE reference BEB935. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Oreana Financial Services Limited 澳利亞金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2021-09-13 | 2022-01-10 |
| Oreana Financial Services Limited 澳利亞金融服務有限公司 |
RO | Type 1 — Dealing in securities | 2019-03-13 | 2021-09-13 |
| Oreana Financial Services Limited 澳利亞金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-18 | 2019-03-13 |
| Oreana Financial Services Limited 澳利亞金融服務有限公司 |
Rep | Type 4 — Advising on securities | 2017-08-18 | 2022-01-10 |
| Oreana Financial Services Limited 澳利亞金融服務有限公司 |
Rep | Type 9 — Asset management | 2017-08-18 | 2022-01-10 |
| STI Asset Management Limited | Rep | Type 1 — Dealing in securities | 2016-05-26 | 2017-07-21 |
| STI Asset Management Limited | Rep | Type 4 — Advising on securities | 2016-05-26 | 2017-07-21 |
| STI Asset Management Limited | Rep | Type 9 — Asset management | 2016-05-26 | 2017-07-21 |
| First Fidelity Capital (International) Limited | Rep | Type 1 — Dealing in securities | 2014-09-25 | 2016-08-09 |
| First Fidelity Capital (International) Limited | Rep | Type 4 — Advising on securities | 2014-09-25 | 2016-08-09 |
| First Fidelity Capital (International) Limited | Rep | Type 9 — Asset management | 2014-09-25 | 2016-08-09 |