SFC Licences of FALLON James Thomas
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| BridgeWood Alternatives Limited | RE | 4 | 16 September 2021 | 05 September 2022 |
| BridgeWood Alternatives Limited | RE | 1 | 16 September 2021 | 05 September 2022 |
| Cephei Capital Management (Hong Kong) Limited | RE | 9 | 09 November 2017 | 28 February 2021 |
| Seres Asset Management Limited 瑞時投資管理有限公司 | RE | 9 | 15 May 2014 | 20 October 2017 |
| Merrill Lynch Far East Limited | RE | 2 | 20 August 2010 | 27 July 2012 |
| Merrill Lynch Far East Limited | RE | 1 | 15 June 2009 | 27 July 2012 |
| Merrill Lynch Futures (Hong Kong) Limited | RE | 2 | 15 June 2009 | 20 August 2010 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 20 May 2009 | 27 July 2012 |
| Tremont Capital Management (Asia) Limited | RE | 1 | 08 September 2008 | 29 January 2009 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 13 January 2006 | 29 August 2008 |