Kellie-Smith, Sam Anthony
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 | 2005-08-01 | 2006-02-08 | Rep | Dealing in securities | 2005-08-01 | 2006-02-08 | RO | Automated trading services | 2006-02-08 | 2009-02-25 | RO | Dealing in securities | 2006-02-08 | 2009-02-25 | RO | Advising on futures contracts | 2006-05-16 | 2009-02-25 | Rep | Automated trading services | 2009-02-25 | 2013-09-05 | Rep | Advising on futures contracts | 2009-02-25 | 2014-11-21 | Rep | Dealing in securities | 2009-02-25 | 2014-11-21 |
| 2 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2005-08-01 | 2006-02-08 | Rep | Dealing in futures contracts | 2005-08-01 | 2006-02-08 | RO | Automated trading services | 2006-02-08 | 2009-02-25 | RO | Dealing in futures contracts | 2006-02-08 | 2009-02-25 | Rep | Automated trading services | 2009-02-25 | 2010-12-06 | Rep | Dealing in futures contracts | 2009-02-25 | 2010-12-06 |
| 3 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2005-08-01 | 2006-02-08 | RO | Dealing in securities | 2006-02-08 | 2009-03-20 | Rep | Dealing in securities | 2009-03-20 | 2013-09-05 | Rep | Dealing in futures contracts | 2010-12-06 | 2014-11-21 |
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