SFC licenceholder AKP607 JARRETT Caroline Grace

Licences

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

Updated: 08 April 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [7] (Providing Automated Trading Services) 11 October 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 26 August 2015
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities), [7] (Providing Automated Trading Services) 26 August 2015 10 October 2016
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 26 August 2015 10 October 2016
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [4] (Advising on Securities), [5] (Advising on Futures Contracts) 06 August 2013 16 April 2014
Morgan Stanley Hong Kong Securities Limited RE [7] (Providing Automated Trading Services) 24 July 2013 04 August 2014
Morgan Stanley Hong Kong Securities Limited RE [2] (Dealing in Futures Contracts) 06 December 2010 04 August 2014
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [1] (Dealing in Securities) 11 September 2006 04 August 2014
Morgan Stanley Hong Kong Securities Limited RE [1] (Dealing in Securities) 11 September 2006 04 August 2014
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [7] (Providing Automated Trading Services) 11 September 2006 24 July 2013
Morgan Stanley Hong Kong Futures Limited RE [2] (Dealing in Futures Contracts), [7] (Providing Automated Trading Services) 11 September 2006 06 December 2010
ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 RE [4] (Advising on Securities) 15 July 2004 11 August 2006