SFC Licences of CHAPMAN James Richard
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 6 | 08 June 2009 | 19 July 2013 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 1 | 08 June 2009 | 19 July 2013 |
| Merrill Lynch Far East Limited | RE | 1 | 04 November 2008 | 06 March 2009 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 04 November 2008 | 06 March 2009 |
| Merrill Lynch Far East Limited | RE | 6 | 09 October 2008 | 06 March 2009 |
| Merrill Lynch Far East Limited | RE | 4 | 09 October 2008 | 06 March 2009 |
| Merrill Lynch (Asia Pacific) Limited | RE | 6 | 09 October 2008 | 06 March 2009 |
| Merrill Lynch (Asia Pacific) Limited | RE | 4 | 09 October 2008 | 06 March 2009 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 6 | 07 February 2005 | 29 September 2008 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 4 | 07 February 2005 | 29 September 2008 |