SFC Licences of CARPENTER Seth Bernard
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 | 4 | 02 February 2024 | 07 February 2024 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 4 | 28 February 2023 | 04 March 2023 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 | RE | 1 | 28 February 2023 | 04 March 2023 |
| UBS Securities Asia Limited | RE | 4 | 04 October 2019 | 11 October 2019 |
| UBS Securities Asia Limited | RE | 4 | 10 May 2019 | 17 May 2019 |
| UBS Securities Asia Limited | RE | 4 | 04 May 2018 | 11 May 2018 |
| UBS Securities Asia Limited | RE | 4 | 24 November 2017 | 29 November 2017 |