Tom, Judy
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 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in futures contracts | 2009-03-02 | 2009-08-01 | Rep | Dealing in securities | 2009-03-02 | 2009-08-01 | Rep | Advising on securities | 2009-03-09 | 2009-08-01 |
| 2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on securities | 2017-12-05 | 2022-12-31 | Rep | Dealing in securities | 2017-12-05 | 2022-12-31 |
| 3 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2003-12-31 | Rep | Advising on securities | 2003-12-31 | Rep | Automated trading services | 2008-11-20 | Rep | Dealing in securities | 2008-11-20 | Rep | Dealing in securities | 2009-09-15 | 2016-01-01 |
| 4 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2004-01-13 | 2008-11-20 | Rep | Dealing in futures contracts | 2004-01-13 | 2008-11-20 | Rep | Dealing in futures contracts | 2009-09-15 | 2010-12-06 |
| 5 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2010-12-06 | 2016-01-01 |
| 6 | Sanford C. Bernstein (Hong Kong) Limited | Rep | Dealing in securities | 2016-05-30 | 2016-08-11 | Rep | Advising on securities | 2016-05-30 | 2017-11-22 | RO | Dealing in securities | 2016-08-11 | 2017-11-22 |
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