SFC Licences of SUN Pui Yin, James 辛沛賢
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | RE | 5 | 29 June 2011 | 28 August 2012 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 4 | 29 June 2011 | 28 August 2012 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 2 | 29 June 2011 | 28 August 2012 |
| J.P. Morgan Broking (Hong Kong) Limited | RE | 1 | 29 June 2011 | 28 August 2012 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 04 September 2006 | 24 July 2010 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 04 September 2006 | 24 July 2010 |
| Morgan Stanley Hong Kong Futures Limited | RE | 7 | 25 October 2005 | 07 August 2006 |
| Morgan Stanley Hong Kong Futures Limited | RE | 2 | 06 April 2005 | 07 August 2006 |
| Morgan Stanley Hong Kong Securities Limited | RE | 1 | 16 February 2005 | 07 August 2006 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 7 | 16 February 2005 | 07 August 2006 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 16 February 2005 | 07 August 2006 |