Cao, Chunan
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 | Automated trading services | 2012-08-28 | 2013-07-24 | Rep | Dealing in futures contracts | 2012-08-28 | 2013-07-24 | Rep | Dealing in securities | 2012-08-28 | 2013-07-24 |
| 2 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2012-08-28 | 2013-07-24 |
| 3 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2014-09-08 | 2016-09-19 | Rep | Dealing in securities | 2014-09-08 | 2016-09-19 | Rep | Advising on futures contracts | 2014-09-08 | 2020-08-05 | Rep | Dealing in futures contracts | 2014-09-08 | 2020-08-05 |
| 4 | Macquarie Asia Securities Limited | Rep | Dealing in futures contracts | 2013-08-28 | 2014-06-09 |
| 5 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2020-11-03 | 2024-10-02 | RO | Dealing in securities | 2024-10-02 |
| 6 | Morgan Stanley Hong Kong Securities Limited | Rep | Automated trading services | 2020-11-03 | 2024-10-02 | Rep | Dealing in futures contracts | 2020-11-03 | 2024-10-02 | Rep | Dealing in securities | 2020-11-03 | 2024-10-02 | RO | Automated trading services | 2024-10-02 | RO | Dealing in futures contracts | 2024-10-02 | RO | Dealing in securities | 2024-10-02 |
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