Wenham, James Alexander Scott

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Liquidnet Asia Limited	Rep	Providing automated trading services	2020-09-14	-
	Rep	Dealing in securities	2020-09-14	-
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on securities	2019-02-01	2019-11-05
	Rep	Dealing in securities	2019-01-22	2019-11-05
CLSA LIMITED	Rep	Dealing in securities	2010-05-20	2018-12-29

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Liquidnet Asia Limited	Rep	Providing automated trading services	2020-09-14	-
	Rep	Dealing in securities	2020-09-14	-
MIZUHO SECURITIES ASIA LIMITED	Rep	Advising on securities	2019-02-01	2019-11-05
	Rep	Dealing in securities	2019-01-22	2019-11-05
CLSA LIMITED	Rep	Dealing in securities	2010-05-20	2018-12-29

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.