James Samuel Levy
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Samuel Levy, a licensed former licensee with CE reference AWY377. This person has 10.6 years of SFC licence history. Total licence records on file: 22.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2012-06-12 | 2021-10-06 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2012-06-12 | 2021-10-06 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2012-06-12 | 2021-10-06 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2012-03-16 | 2012-06-12 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2012-03-16 | 2012-06-12 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2012-03-16 | 2012-06-12 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2011-08-17 | 2012-03-16 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2011-08-17 | 2012-03-16 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2011-08-17 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 2 - Dealing in futures contracts | 2011-08-17 | 2021-10-06 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 2 - Dealing in futures contracts | 2011-08-17 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2011-08-17 | 2012-03-16 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2011-08-17 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-03-08 | 2011-08-17 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-03-08 | 2011-08-17 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-03-08 | 2011-08-17 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2011-03-08 | 2011-08-17 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2011-03-08 | 2011-08-17 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2011-03-08 | 2011-08-17 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2011-03-08 | 2011-08-17 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2011-03-08 | 2021-10-06 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2011-03-08 | 2011-12-31 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as James Samuel Levy 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.