SFC licenceholder ANZ783 WALLACE Philip Robert

Licences

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

Updated: 16 February 2020

Institution Role Licences Start date End date
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 21 January 2019
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [1] (Dealing in Securities) 21 January 2019
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 13 January 2014 04 October 2018
Morgan Stanley Hong Kong Securities Limited RE [7] (Providing Automated Trading Services) 24 July 2013 13 September 2013
Morgan Stanley Hong Kong Securities Limited RE [2] (Dealing in Futures Contracts) 06 December 2010 13 September 2013
Morgan Stanley Hong Kong Securities Limited RE [1] (Dealing in Securities) 15 August 2007 13 September 2013
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [1] (Dealing in Securities) 22 September 2006 13 September 2013
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [7] (Providing Automated Trading Services) 22 September 2006 24 July 2013
Morgan Stanley Hong Kong Futures Limited RE [2] (Dealing in Futures Contracts), [7] (Providing Automated Trading Services) 22 September 2006 06 December 2010