SFC Licences of CARON James Arthur
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 14 November 2014 | 21 November 2014 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 13 March 2014 | 20 March 2014 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 10 July 2013 | 17 July 2013 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 02 November 2011 | 16 November 2011 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 13 May 2011 | 27 May 2011 |
| Morgan Stanley Hong Kong Futures Limited | RE | 2 | 05 November 2010 | 19 November 2010 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 05 November 2010 | 19 November 2010 |
| Morgan Stanley Hong Kong Futures Limited | RE | 2 | 17 March 2010 | 23 March 2010 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 17 March 2010 | 23 March 2010 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 13 November 2009 | 19 November 2009 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 23 April 2009 | 30 April 2009 |