Wallace, Philip Robert

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

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