Wallum, Nicholas Peter

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 Asia Limited	RO	Dealing in securities	2015-12-16	2019-12-10
Morgan Stanley Hong Kong Securities Limited	RO	Providing automated trading services	2015-12-16	2019-12-10
	RO	Dealing in futures contracts	2015-12-16	2019-12-10
	RO	Dealing in securities	2015-12-16	2019-12-10
	Rep	Providing automated trading services	2013-07-24	2015-12-16
	Rep	Dealing in futures contracts	2010-12-06	2015-12-16
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2009-11-19	2013-07-24
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2009-11-19	2010-12-06
Morgan Stanley Asia Limited	Rep	Dealing in securities	2009-11-02	2015-12-16
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2009-11-02	2010-12-06
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2009-11-02	2015-12-16
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2007-10-22	2009-09-09
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2007-10-22	2009-09-09
	Rep	Dealing in securities	2007-10-22	2009-09-09

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 Asia Limited	RO	Dealing in securities	2015-12-16	2019-12-10
Morgan Stanley Hong Kong Securities Limited	RO	Providing automated trading services	2015-12-16	2019-12-10
	RO	Dealing in futures contracts	2015-12-16	2019-12-10
	RO	Dealing in securities	2015-12-16	2019-12-10
	Rep	Providing automated trading services	2013-07-24	2015-12-16
	Rep	Dealing in futures contracts	2010-12-06	2015-12-16
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2009-11-19	2013-07-24
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2009-11-19	2010-12-06
Morgan Stanley Asia Limited	Rep	Dealing in securities	2009-11-02	2015-12-16
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2009-11-02	2010-12-06
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2009-11-02	2015-12-16
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2007-10-22	2009-09-09
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2007-10-22	2009-09-09
	Rep	Dealing in securities	2007-10-22	2009-09-09