Crandell, Caroline Grace
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 | ETRADE SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2004-07-15 | 2006-08-11 |
| 2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2015-08-26 | 2022-06-01 |
| 3 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Automated trading services | 2015-08-26 | 2016-10-10 | Rep | Dealing in securities | 2015-08-26 | 2016-10-10 | Rep | Automated trading services | 2016-10-11 | 2022-06-01 | Rep | Dealing in futures contracts | 2016-10-11 | 2022-06-01 | Rep | Dealing in securities | 2016-10-11 | 2022-06-01 |
| 4 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2015-08-26 | 2016-10-10 |
| 5 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2006-09-11 | 2013-07-24 | Rep | Dealing in securities | 2006-09-11 | 2014-08-04 | Rep | Advising on futures contracts | 2013-08-06 | 2014-04-16 | Rep | Advising on securities | 2013-08-06 | 2014-04-16 |
| 6 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2006-09-11 | 2010-12-06 | Rep | Dealing in futures contracts | 2006-09-11 | 2010-12-06 |
| 7 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2006-09-11 | 2014-08-04 | Rep | Dealing in futures contracts | 2010-12-06 | 2014-08-04 | Rep | Automated trading services | 2013-07-24 | 2014-08-04 |
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