SFC Licences of NEARY James Joseph
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 03 October 2017 | |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 16 June 2017 | 02 October 2017 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 2 | 06 August 2013 | 21 January 2016 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 1 | 06 August 2013 | 21 January 2016 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 1 | 29 December 2009 | 05 September 2012 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 15 October 2008 | 01 January 2009 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 | RE | 1 | 27 December 2007 | 15 May 2008 |