SFC Licences of MOSS James Thomas
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 | 4 | 10 August 2012 | 01 November 2013 |
| CLSA Research Limited 里昂證券投資研究有限公司 | RE | 4 | 21 May 2007 | 22 February 2012 |
| HSBC Securities (Asia) Limited | RE | 4 | 01 August 2003 | 26 April 2004 |