Personnel SFC Licences and HKMA Registrations (ID 2472238)

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	2023-06-08	-
	Rep	Advising on securities	2023-06-08	-
	Rep	Dealing in securities	2018-10-16	-
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2018-10-16	-
	Rep	Dealing in futures contracts	2018-10-16	-
	Rep	Dealing in securities	2018-10-16	-
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2015-10-30	2018-07-17
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2015-09-08	2018-07-17
	Rep	Dealing in securities	2015-09-08	2018-07-17

HKMA registrations

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

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