SFC licenceholder ADQ241 TOM Judy

Licences

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

Updated: 03 April 2020

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