SFC Licences of HERSEY Steven James

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 2 07 February 2017 19 April 2022
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 1 07 February 2017 19 April 2022
J.P. Morgan Securities (Far East) Limited RO 4 09 October 2013 09 August 2016
J.P. Morgan Securities (Far East) Limited RO 1 09 October 2013 09 August 2016
J.P. Morgan Broking (Hong Kong) Limited RO 5 25 September 2012 09 August 2016
J.P. Morgan Broking (Hong Kong) Limited RO 2 25 September 2012 09 August 2016
J.P. Morgan Broking (Hong Kong) Limited RE 4 13 June 2012 03 November 2015
J.P. Morgan Broking (Hong Kong) Limited RE 1 13 June 2012 03 November 2015
J.P. Morgan Broking (Hong Kong) Limited RE 5 15 November 2011 25 September 2012
J.P. Morgan Broking (Hong Kong) Limited RE 2 15 November 2011 25 September 2012
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 7 06 November 2008 16 August 2011
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 2 06 November 2008 16 August 2011
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 1 15 August 2007 16 August 2011
Credit Suisse Futures (Hong Kong) Limited RE 7 12 December 2007 24 November 2008
Credit Suisse Futures (Hong Kong) Limited RE 2 12 December 2007 24 November 2008