SFC Licences of WALLACE Mark Stephen
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Macquarie Asia Securities Limited | RE | 4 | 30 September 2020 | |
| Macquarie Asia Securities Limited | RE | 1 | 30 September 2020 | |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 | RE | 1 | 29 September 2014 | 20 September 2016 |
| Merrill Lynch Far East Limited | RE | 2 | 06 September 2010 | 10 July 2012 |
| Merrill Lynch Far East Limited | RE | 1 | 04 April 2007 | 10 July 2012 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 04 April 2007 | 10 July 2012 |
| Merrill Lynch Futures (Hong Kong) Limited | RE | 2 | 04 April 2007 | 06 September 2010 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 29 March 2006 | 05 April 2006 |