Crandell, Caroline Grace

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

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