Personnel Hong Kong SFC License Details (ID 89517)

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
CGS International Securities Hong Kong Limited	RO	Dealing in securities	2020-04-02	-
	Rep	Advising on securities	2020-02-10	-
	Rep	Dealing in securities	2017-03-17	2020-04-02
Manulife Investment Management (Hong Kong) Limited	Rep	Dealing in securities	2016-10-17	2017-03-14
Morgan Stanley Asia Limited	Rep	Advising on futures contracts	2013-07-24	2016-01-08
	Rep	Advising on securities	2013-07-24	2016-01-08
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2013-07-24	2016-01-08
	Rep	Dealing in futures contracts	2010-12-06	2016-01-08
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2006-09-14	2013-07-24
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2006-05-12	2010-12-06
	Rep	Dealing in futures contracts	2006-05-12	2010-12-06
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2006-05-02	2016-01-08
Morgan Stanley Asia Limited	Rep	Dealing in securities	2006-04-11	2016-01-08
Quam Securities Limited	Rep	Dealing in securities	2006-03-07	2006-03-16
Virtu ITG Hong Kong Limited	Rep	Providing automated trading services	2003-05-13	2005-09-12
ITG SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-04-25
	Rep	Advising on securities	2003-04-01	2003-04-25
	Rep	Asset management	2003-04-01	2003-04-25
	Rep	Dealing in securities	2003-04-01	2003-04-25
Virtu ITG Hong Kong Limited	Rep	Advising on corporate finance	2003-04-01	2003-05-13
	Rep	Advising on securities	2003-04-01	2003-05-13
	Rep	Asset management	2003-04-01	2003-05-13
	Rep	Dealing in securities	2003-04-01	2005-09-12