Steven Robert Cain
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven Robert Cain, a licensed former licensee with CE reference AGD094. This person has 4.6 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2007-11-08 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2007-11-08 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2007-11-08 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2007-11-08 |