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

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