SFC licenceholder AZJ946 HOWARD Paul Raymond

Licences

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

Updated: 01 April 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 03 September 2019
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) 03 September 2019
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 27 November 2017
Morgan Stanley Hong Kong Securities Limited RE [7] (Providing Automated Trading Services) 24 July 2013 20 June 2019
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [1] (Dealing in Securities) 30 April 2012 20 June 2019
Morgan Stanley Hong Kong Securities Limited RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 30 April 2012 20 June 2019
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [7] (Providing Automated Trading Services) 30 April 2012 24 July 2013