Fallon, James Thomas
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BridgeWood Alternatives Limited | Rep | Advising on securities | 2021-09-16 | 2022-09-05 | Rep | Dealing in securities | 2021-09-16 | 2022-09-05 |
| 2 | Cephei Capital Management (Hong Kong) Limited | Rep | Asset management | 2017-11-09 | 2021-02-28 |
| 3 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2009-05-20 | 2012-07-27 |
| 4 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2009-06-15 | 2012-07-27 | Rep | Dealing in futures contracts | 2010-08-20 | 2012-07-27 |
| 5 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2009-06-15 | 2010-08-20 |
| 6 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2006-01-13 | 2008-08-29 |
| 7 | Seres Asset Management Limited | Rep | Asset management | 2014-05-15 | 2017-10-20 |
| 8 | Tremont Capital Management (Asia), Limited | Rep | Dealing in securities | 2008-09-08 | 2009-01-29 |
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