Ruddick, Matthew
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 | 2004-05-18 | 2007-04-20 |
| 2 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2004-05-18 | 2007-04-20 |
| 3 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2004-05-18 | 2007-04-20 |
| 4 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2004-05-18 | 2007-04-20 |
| 5 | MIZUHO SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2007-06-11 | 2011-09-28 |
| 6 | MIZUHO SECURITIES ASIA LIMITED | Rep | Advising on securities | 2008-06-23 | 2011-09-28 |
| 7 | BTIG Hong Kong Limited | Rep | Dealing in securities | 2012-03-26 | 2013-02-28 |
| 8 | Oppenheimer Investments Asia Limited | Rep | Advising on securities | 2013-03-11 | 2013-07-08 |
| 9 | Oppenheimer Investments Asia Limited | Rep | Dealing in securities | 2013-03-11 | 2013-12-31 |
| 10 | Oppenheimer Investments Asia Limited | RO | Advising on securities | 2013-07-08 | 2013-12-31 |
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