Richard Alan James

CE No. BNR278 Ceased

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

FirmRoleRegulated activityFromTo
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

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