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UREN Paul Stephen James

CE BON475Licensed IndividualResponsible OfficerExecutive OfficerSFO licence active
Official SFC record

UREN Paul Stephen James (CE number BON475) is an individual licensed by the Hong Kong SFC. First licensed on 2019-07-31. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerJ.P. Morgan Securities (Far East) Limited
Executive OfficerJ.P. Morgan Securities (Asia Pacific) Limited
Executive OfficerJPMorgan Chase Bank, National Association

Licence Record (2)

2020-06-04 – present Current
J.P. Morgan Securities (Far East) Limited RO
RA 1 RA 4 RA 6
2019-07-31 – 2020-06-04
J.P. Morgan Securities (Far East) Limited Rep
RA 1 RA 4 RA 6

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/BON475