Personnel Hong Kong SFC License Details (ID 69538)

Personnel Hong Kong SFC License Details (ID 69538)

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	RO	Advising on corporate finance	2021-09-13	-
	RO	Dealing in securities	2021-09-13	-
	Rep	Advising on corporate finance	2013-08-29	2021-09-13
	Rep	Dealing in securities	2013-08-29	2021-09-13
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2011-07-18	2013-05-24
	Rep	Dealing in securities	2011-07-18	2013-05-24
Morgan Stanley Asia Limited	Rep	Advising on securities	2003-04-01	2004-02-12
	Rep	Providing automated trading services	2003-04-01	2004-02-12
	Rep	Advising on corporate finance	2003-04-01	2011-04-18
	Rep	Dealing in securities	2003-04-01	2011-04-18