Cheah, Sim Ee 謝心懿
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Credit Suisse (Hong Kong) Limited | Rep | Automated trading services | 2010-03-04 | 2013-11-01 | Rep | Dealing in futures contracts | 2010-03-04 | 2015-08-19 | Rep | Dealing in securities | 2010-03-04 | 2015-08-19 | Rep | Advising on securities | 2014-02-06 | 2015-08-19 |
| 2 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2013-01-21 | 2014-11-11 |
| 3 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2015-11-18 | 2016-10-31 | Rep | Dealing in securities | 2015-11-18 | 2016-10-31 | Rep | Advising on futures contracts | 2015-11-18 | 2020-01-13 | Rep | Dealing in futures contracts | 2015-11-18 | 2020-01-13 | RO | Advising on futures contracts | 2020-01-13 | RO | Dealing in futures contracts | 2020-01-13 |
| 4 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2006-06-16 | 2007-02-28 | Rep | Dealing in securities | 2006-06-16 | 2007-02-28 |
| 5 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2006-06-16 | 2007-02-28 | Rep | Dealing in futures contracts | 2006-06-16 | 2007-02-28 |
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