Personnel Hong Kong SFC License Details (ID 89375)

Personnel Hong Kong SFC License Details (ID 89375)

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
Carret Private Capital Limited	Rep	Asset management	2023-12-28	2024-06-29
	Rep	Advising on securities	2022-08-29	2024-06-29
	Rep	Dealing in securities	2022-08-29	2024-06-29
Morgan Stanley Asia Limited	Rep	Dealing in securities	2013-05-10	2016-10-21
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2013-05-10	2016-10-21
	Rep	Dealing in futures contracts	2010-12-06	2012-05-14
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	-	2004-02-11
	Rep	Advising on securities	-	2004-02-11
	Rep	Providing automated trading services	-	2004-02-11
	Rep	Dealing in securities	-	2012-05-14
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	-	2004-02-11
	Rep	Dealing in futures contracts	-	2010-12-06