Personnel Hong Kong SFC License Details (ID 133426)

Personnel Hong Kong SFC License Details (ID 133426)

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 Asia Limited	Rep	Advising on futures contracts	2014-07-25	-
	Rep	Advising on securities	2014-07-25	-
	Rep	Dealing in securities	2014-07-25	-
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2014-07-25	-
	Rep	Dealing in futures contracts	2014-07-25	-
	Rep	Dealing in securities	2014-07-25	-
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2013-05-24	2014-04-29
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2011-11-07	2013-11-01
	Rep	Dealing in futures contracts	2011-11-07	2014-04-29
	Rep	Dealing in securities	2011-11-07	2014-04-29