Personnel Hong Kong SFC License Details (ID 89377)

Personnel Hong Kong SFC License Details (ID 89377)

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	2017-01-24
Morgan Stanley Asia Limited	Rep	Dealing in securities	2010-01-04	2017-01-24
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2010-01-04	2010-12-06
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2005-03-10	2007-04-10
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2005-03-10	2007-04-10
LEHMAN BROTHERS ASIA HOLDINGS LIMITED	Rep	Advising on corporate finance	-	2003-08-21
	Rep	Advising on securities	-	2003-08-21
	Rep	Asset management	-	2003-08-21
LEHMAN BROTHERS ASIA LIMITED	Rep	Asset management	-	2003-08-21
	Rep	Advising on securities	-	2005-03-10
	Rep	Advising on corporate finance	-	2007-04-10