SFC Licences of TOM Judy

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司	RE	4	05 December 2017	31 December 2022
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司	RE	1	05 December 2017	31 December 2022
Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司	RO	1	11 August 2016	22 November 2017
Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司	RE	4	30 May 2016	22 November 2017
Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司	RE	1	30 May 2016	11 August 2016
Morgan Stanley Hong Kong Securities Limited	RE	2	06 December 2010	01 January 2016
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司	RE	1	15 September 2009	01 January 2016
Morgan Stanley Hong Kong Futures Limited	RE	2	15 September 2009	06 December 2010
Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司	RE	4	09 March 2009	01 August 2009
Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司	RE	2	02 March 2009	01 August 2009
Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司	RE	1	02 March 2009	01 August 2009
Morgan Stanley Hong Kong Futures Limited	RE	7	13 January 2004	20 November 2008
Morgan Stanley Hong Kong Futures Limited	RE	2	13 January 2004	20 November 2008
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司	RE	7	01 April 2003	20 November 2008
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司	RE	1	01 April 2003	20 November 2008
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司	RE	4	01 April 2003	31 December 2003
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司	RE	6	01 April 2003	31 December 2003