SFC Licences of SIM Su Fen 沈素芬
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 7 | 03 July 2007 | 30 May 2008 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 2 | 03 July 2007 | 30 May 2008 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 | RE | 1 | 03 July 2007 | 30 May 2008 |
| Morgan Stanley Hong Kong Securities Limited | RE | 1 | 01 April 2003 | 08 November 2005 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 01 April 2003 | 08 November 2005 |
| Morgan Stanley Hong Kong Futures Limited | RE | 2 | 01 April 2003 | 08 November 2005 |
| Morgan Stanley Hong Kong Futures Limited | RE | 7 | 01 April 2003 | 08 November 2005 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 7 | 01 April 2003 | 08 November 2005 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 4 | 01 April 2003 | 11 February 2004 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 6 | 01 April 2003 | 11 February 2004 |