Cohen, Richard Max
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 | 2009-10-14 | 2012-02-02 | Rep | Dealing in futures contracts | 2009-10-14 | 2012-02-02 | Rep | Dealing in securities | 2009-10-14 | 2012-02-02 | RO | Automated trading services | 2012-02-02 | 2013-11-01 | RO | Dealing in futures contracts | 2012-02-02 | 2013-11-23 | RO | Dealing in securities | 2012-02-02 | 2013-11-23 |
| 2 | Morgan Stanley Asia Limited | Rep | Advising on securities | 2003-05-05 | 2009-06-25 | Rep | Dealing in securities | 2003-05-05 | 2009-06-25 |
| 3 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2007-08-29 | 2009-06-25 |
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