Personnel Hong Kong SFC License Details (ID 89299)

Personnel Hong Kong SFC License Details (ID 89299)

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 Asia Limited	Rep	Dealing in securities	2007-05-07	2012-05-14
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2007-05-07	2010-12-06
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	RO	Advising on securities	2004-06-07	2004-07-30
	RO	Advising on corporate finance	2004-06-07	2005-04-13
	RO	Dealing in securities	2004-06-07	2005-04-13
	Rep	Asset management	-	2003-12-31
	Rep	Advising on corporate finance	-	2004-06-07
	Rep	Advising on securities	-	2004-06-07
	Rep	Dealing in securities	-	2004-06-07