SFC Licences of PEARSON James
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 6 | 14 November 2016 | 04 April 2019 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 4 | 14 November 2016 | 04 April 2019 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 14 November 2016 | 04 April 2019 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 | RO | 6 | 15 July 2004 | 07 December 2009 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 | RO | 1 | 15 July 2004 | 07 December 2009 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 | RE | 6 | 30 January 2004 | 15 July 2004 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 | RE | 1 | 30 January 2004 | 15 July 2004 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 7 | 01 April 2003 | 26 November 2003 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 6 | 01 April 2003 | 26 November 2003 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 4 | 01 April 2003 | 26 November 2003 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 01 April 2003 | 26 November 2003 |