Caron, James Arthur
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 | Dealing in securities | 2009-04-23 | 2009-04-30 |
| 2 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2009-11-13 | 2009-11-19 |
| 3 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2010-03-17 | 2010-03-23 |
| 4 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2010-03-17 | 2010-03-23 |
| 5 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2010-11-05 | 2010-11-19 |
| 6 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2010-11-05 | 2010-11-19 |
| 7 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2011-05-13 | 2011-05-27 |
| 8 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2011-11-02 | 2011-11-16 |
| 9 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2013-07-10 | 2013-07-17 |
| 10 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2014-03-13 | 2014-03-20 |
| 11 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2014-11-14 | 2014-11-21 |
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