SFC Licences of CARTER Ramsay James
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Bank of Nova Scotia, The 加拿大豐業銀行 | 4 | 26 February 2020 | ||
| Bank of Nova Scotia, The 加拿大豐業銀行 | 1 | 26 February 2020 | ||
| BNS Securities (HK) Limited | RO | 4 | 10 May 2019 | 15 April 2021 |
| BNS Securities (HK) Limited | RO | 1 | 10 May 2019 | 15 April 2021 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 7 | 07 November 2008 | 28 June 2011 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 2 | 07 November 2008 | 28 June 2011 |
| Credit Suisse Futures (Hong Kong) Limited | RE | 7 | 04 December 2007 | 24 November 2008 |
| Credit Suisse Futures (Hong Kong) Limited | RE | 2 | 04 December 2007 | 24 November 2008 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 1 | 31 March 2006 | 28 June 2011 |