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O'NEILE James Finlay

CE ALV097Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

O'NEILE James Finlay (CE number ALV097) is an individual licensed by the Hong Kong SFC. First licensed on 2005-03-21. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerNomura International (Hong Kong) Limited
野村國際(香港)有限公司
RepresentativeNomura International (Hong Kong) Limited
野村國際(香港)有限公司

Licence Record (5)

2022-10-25 – present Current
Nomura International (Hong Kong) Limited RO
RA 1 RA 4
2005-03-21 – present Current
Nomura International (Hong Kong) Limited Rep
RA 1 RA 2 RA 4
2018-05-02 – 2019-10-21
GSA Capital Partners (Hong Kong) Limited RO
RA 1 RA 9
2010-02-04 – 2013-04-23
Nomura Securities (Hong Kong) Limited Rep
RA 2
2005-03-21 – 2010-02-19
Nomura Futures (Hong Kong) Limited Rep
RA 2

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ALV097