Thompson, Stephen (SFC:ANQ086)
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 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2013-09-16 | 2015-04-30 |
| 2 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2013-09-16 | 2015-04-30 | Rep | Dealing in securities | 2013-09-16 | 2015-04-30 |
| 3 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2006-07-17 | 2013-06-14 | Rep | Dealing in securities | 2006-07-17 | 2013-06-14 |
| 4 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2006-07-17 | 2010-12-06 | Rep | Dealing in futures contracts | 2006-07-17 | 2010-12-06 |
| 5 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2006-07-17 | 2013-06-26 | Rep | Dealing in futures contracts | 2010-12-06 | 2013-06-26 |
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