Personnel Hong Kong SFC License Details (ID 99523)

Personnel Hong Kong SFC License Details (ID 99523)

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
LGT CAPITAL PARTNERS (ASIA-PACIFIC) LIMITED	Rep	Asset management	2019-01-02	2025-12-31
	Rep	Advising on securities	2011-07-28	2025-12-31
	Rep	Dealing in securities	2011-07-28	2025-12-31
Morgan Stanley Asia Limited	Rep	Advising on securities	2011-03-30	2011-05-16
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2011-03-24
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2010-02-24	2011-03-24
	Rep	Dealing in securities	2010-02-24	2011-05-16
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2010-02-24	2010-12-06
	Rep	Dealing in futures contracts	2010-02-24	2010-12-06
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2010-02-24	2011-03-10