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NEARY James Joseph

CE AQE987Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

NEARY James Joseph (CE number AQE987) is an individual licensed by the Hong Kong SFC. First licensed on 2007-12-27. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerKGI Asia Limited
凱基證券亞洲有限公司
RepresentativeKGI Asia Limited
凱基證券亞洲有限公司

Licence Record (6)

2017-10-03 – present Current
KGI Asia Limited Rep
RA 1
2017-06-16 – 2017-10-02
KGI Asia Limited Rep
RA 1
2013-08-06 – 2016-01-21
Barclays Capital Asia Limited Rep
RA 1 RA 2
2009-12-29 – 2012-09-05
Deutsche Securities Asia Limited Rep
RA 1
2008-10-15 – 2009-01-01
Nomura International (Hong Kong) Limited Rep
RA 1
2007-12-27 – 2008-05-15
KBC Financial Products Hong Kong Limited Rep
RA 1

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/AQE987