Personnel Hong Kong SFC License Details (ID 88808)

Personnel Hong Kong SFC License Details (ID 88808)

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	Rep	Dealing in futures contracts	2010-12-06	2012-05-14
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2006-01-17	2010-12-06
Morgan Stanley Asia Limited	Rep	Dealing in securities	2005-09-15	2012-05-14
AIA WEALTH MANAGEMENT COMPANY LIMITED	Rep	Advising on securities	2004-10-21	2005-09-15
THE PRUDENTIAL ASSURANCE COMPANY LIMITED	Rep	Advising on corporate finance	-	2004-08-01
	Rep	Advising on securities	-	2004-08-01
	Rep	Asset management	-	2004-08-01