Fildes, Ewart John
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 | Instinet Alpha Trading Limited | Rep | Automated trading services | 2006-08-08 | 2006-12-19 | Rep | Dealing in securities | 2006-08-08 | 2006-12-19 | Rep | Advising on securities | 2006-08-09 | 2006-12-19 | RO | Advising on securities | 2006-12-19 | 2010-06-05 | RO | Automated trading services | 2006-12-19 | 2010-06-05 | RO | Dealing in securities | 2006-12-19 | 2010-06-05 |
| 2 | INSTINET PACIFIC LIMITED | Rep | Automated trading services | 2006-08-08 | 2006-12-19 | Rep | Dealing in securities | 2006-08-08 | 2006-12-19 | Rep | Advising on securities | 2006-08-09 | 2006-12-19 | RO | Advising on securities | 2006-12-19 | 2010-06-05 | RO | Automated trading services | 2006-12-19 | 2010-06-05 | RO | Dealing in securities | 2006-12-19 | 2010-06-05 |
| 3 | KCG Hong Kong Limited | RO | Dealing in securities | 2012-05-14 | 2013-03-25 | RO | Dealing in futures contracts | 2013-01-15 | 2013-03-25 |
| 4 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2003-07-17 | Rep | Advising on securities | 2003-07-17 | Rep | Automated trading services | 2006-05-30 | Rep | Dealing in securities | 2006-05-30 |
| 5 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2003-07-30 | 2006-05-30 | Rep | Dealing in futures contracts | 2003-07-30 | 2006-05-30 |
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