Wallace, Philip Robert
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 | Dealing in futures contracts | 2019-01-21 | 2022-07-29 | Rep | Dealing in securities | 2019-01-21 | 2022-07-29 |
| 2 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2019-01-21 | 2022-07-29 |
| 3 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2022-08-18 | |
| 4 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2022-08-18 | Rep | Dealing in securities | 2022-08-18 |
| 5 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2006-09-22 | 2013-07-24 | Rep | Dealing in securities | 2006-09-22 | 2013-09-13 |
| 6 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2006-09-22 | 2010-12-06 | Rep | Dealing in futures contracts | 2006-09-22 | 2010-12-06 |
| 7 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2007-08-15 | 2013-09-13 | Rep | Dealing in futures contracts | 2010-12-06 | 2013-09-13 | Rep | Automated trading services | 2013-07-24 | 2013-09-13 |
| 8 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2014-01-13 | 2018-10-04 | Rep | Dealing in securities | 2014-01-13 | 2018-10-04 |
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