Personnel Hong Kong SFC License Details (ID 77625)

Personnel Hong Kong SFC License Details (ID 77625)

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
Wells Fargo Securities Asia Limited	RO	Advising on securities	2026-03-12	-
	RO	Dealing in futures contracts	2026-03-12	-
	RO	Dealing in securities	2026-03-12	-
	Rep	Advising on securities	2026-01-16	2026-03-12
	Rep	Dealing in futures contracts	2026-01-16	2026-03-12
	Rep	Dealing in securities	2026-01-16	2026-03-12
Morgan Stanley Asia Limited	RO	Dealing in securities	2024-10-24	2025-09-08
Morgan Stanley Hong Kong Securities Limited	RO	Dealing in futures contracts	2024-10-24	2025-09-08
	Rep	Dealing in futures contracts	2019-08-16	2024-10-24
Morgan Stanley Asia Limited	Rep	Dealing in securities	2019-08-12	2024-10-24
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2010-09-14	2013-11-01
	Rep	Advising on corporate finance	2009-09-23	2010-09-07
	Rep	Advising on securities	2009-09-23	2010-09-07
	Rep	Dealing in securities	2009-08-31	2019-05-16
Morgan Stanley Asia Limited	Rep	Dealing in securities	2008-08-14	2009-08-17