Personnel Hong Kong SFC License Details (ID 105077)

Personnel Hong Kong SFC License Details (ID 105077)

Key Data SFC Licenses Public Disciplinary Actions

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
Morgan Stanley Hong Kong Securities Limited	RO	Dealing in futures contracts	2010-11-30	2011-09-02
Morgan Stanley Asia Limited	RO	Providing automated trading services	2010-01-28	2011-09-02
Morgan Stanley Hong Kong Futures Limited	RO	Providing automated trading services	2010-01-28	2011-09-02
Morgan Stanley Asia Limited	RO	Dealing in securities	2008-07-30	2011-09-02
Morgan Stanley Hong Kong Futures Limited	RO	Dealing in futures contracts	2008-07-30	2011-09-02
Morgan Stanley Asia Limited	Rep	Dealing in securities	2008-03-28	2008-07-30
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2008-03-28	2008-07-30
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2007-10-25	2007-11-21
Merrill Lynch (Asia Pacific) Limited	RO	Providing automated trading services	2007-08-14	2007-11-21
	RO	Dealing in securities	2007-08-14	2007-11-21
	Rep	Dealing in securities	2007-06-13	2007-08-14
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-06-13	2007-10-25
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	-	2005-01-25
	Rep	Advising on corporate finance	-	2005-03-23
	Rep	Advising on securities	-	2005-03-23
	Rep	Providing automated trading services	-	2005-03-23
	Rep	Dealing in securities	-	2006-07-24