Richard Alan James
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Alan James ( ), a licensed former licensee with CE reference BNR278. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2018-10-12 | 2023-11-30 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2018-10-12 | 2023-11-30 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-10-12 | 2023-11-30 |