Crandell, Caroline Grace Hong Kong SFC License Details (ID 88865)

Crandell, Caroline Grace Hong Kong SFC License Details (ID 88865)

关键资料证监会牌照公开纪律行动

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没有开始日期的人士至少自现行登记册于2003年4月1日启用时起已担任该职位。

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机构	角色	受规管活动	开始日期	结束日期
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	提供自动化交易服务	2016-10-11	2022-06-01
	Rep	期货合约交易	2016-10-11	2022-06-01
	Rep	证券交易	2016-10-11	2022-06-01
GOLDMAN SACHS (ASIA) L.L.C.	Rep	证券交易	2015-08-26	2022-06-01
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	提供自动化交易服务	2015-08-26	2016-10-10
	Rep	证券交易	2015-08-26	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	期货合约交易	2015-08-26	2016-10-10
Morgan Stanley Asia Limited	Rep	就期货合约提供意见	2013-08-06	2014-04-16
	Rep	就证券提供意见	2013-08-06	2014-04-16
Morgan Stanley Hong Kong Securities Limited	Rep	提供自动化交易服务	2013-07-24	2014-08-04
	Rep	期货合约交易	2010-12-06	2014-08-04
Morgan Stanley Asia Limited	Rep	提供自动化交易服务	2006-09-11	2013-07-24
	Rep	证券交易	2006-09-11	2014-08-04
Morgan Stanley Hong Kong Futures Limited	Rep	提供自动化交易服务	2006-09-11	2010-12-06
	Rep	期货合约交易	2006-09-11	2010-12-06
Morgan Stanley Hong Kong Securities Limited	Rep	证券交易	2006-09-11	2014-08-04
ETRADE SECURITIES (HONG KONG) LIMITED	Rep	就证券提供意见	2004-07-15	2006-08-11