SFC Licences of GRAFTON James Christopher

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

Institution Role Licences Start date End date
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 RO 1 22 December 2020 31 January 2022
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 RE 1 13 September 2018 22 December 2020
Morgan Stanley Hong Kong Securities Limited RE 7 06 February 2017 08 January 2018
Morgan Stanley Hong Kong Securities Limited RE 2 06 February 2017 08 January 2018
Morgan Stanley Hong Kong Securities Limited RE 1 06 February 2017 08 January 2018
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 1 06 February 2017 08 January 2018
Morgan Stanley Hong Kong Securities Limited RO 7 04 June 2014 06 February 2017
Morgan Stanley Hong Kong Securities Limited RO 2 04 June 2014 06 February 2017
Morgan Stanley Hong Kong Securities Limited RO 1 04 June 2014 06 February 2017
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RO 1 04 June 2014 06 February 2017
Morgan Stanley Hong Kong Securities Limited RE 7 24 July 2013 04 June 2014
Morgan Stanley Hong Kong Securities Limited RE 2 06 December 2010 04 June 2014
Morgan Stanley Hong Kong Securities Limited RE 1 29 January 2008 04 June 2014
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 1 29 January 2008 04 June 2014
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 7 29 January 2008 24 July 2013
Morgan Stanley Hong Kong Futures Limited RE 7 29 January 2008 06 December 2010
Morgan Stanley Hong Kong Futures Limited RE 2 29 January 2008 06 December 2010