Tom, Judy

show old organisation names

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 corporate finance 2003-12-31
2 Morgan Stanley Asia Limited Rep Advising on securities 2003-12-31
Daiwa Capital Markets Hong Kong Limited Rep 2009-03-09 2009-08-01
Sanford C. Bernstein (Hong Kong) Limited Rep 2016-05-30 2017-11-22
GOLDMAN SACHS (ASIA) L.L.C. Rep 2017-12-05 2022-12-31
3 Morgan Stanley Asia Limited Rep Automated trading services 2008-11-20
Morgan Stanley Hong Kong Futures Limited Rep 2004-01-13 2008-11-20
4 Morgan Stanley Hong Kong Futures Limited Rep Dealing in futures contracts 2004-01-13 2008-11-20
Daiwa Capital Markets Hong Kong Limited Rep 2009-03-02 2009-08-01
Morgan Stanley Hong Kong Futures Limited Rep 2009-09-15 2010-12-06
Morgan Stanley Hong Kong Securities Limited Rep 2010-12-06 2016-01-01
5 Morgan Stanley Asia Limited Rep Dealing in securities 2008-11-20
Daiwa Capital Markets Hong Kong Limited Rep 2009-03-02 2009-08-01
Morgan Stanley Asia Limited Rep 2009-09-15 2016-01-01
Sanford C. Bernstein (Hong Kong) Limited Rep 2016-05-30 2016-08-11
Sanford C. Bernstein (Hong Kong) Limited RO 2016-08-11 2017-11-22
GOLDMAN SACHS (ASIA) L.L.C. Rep 2017-12-05 2022-12-31

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