Chunan Cao
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chunan Cao, a licensed Responsible Officer with CE reference BAC321. Currently licensed at 2 firm(s): Morgan Stanley Asia Limited, Morgan Stanley Hong Kong Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 7 - Providing automated trading services. This person has 13.4 years of SFC licence history. Total licence records on file: 17.
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 |
RO | Type 1 - Dealing in securities | 2024-10-02 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 1 - Dealing in securities | 2024-10-02 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 2 - Dealing in futures contracts | 2024-10-02 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 7 - Providing automated trading services | 2024-10-02 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2020-11-03 | 2024-10-02 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2020-11-03 | 2024-10-02 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2020-11-03 | 2024-10-02 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 - Providing automated trading services | 2020-11-03 | 2024-10-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2014-09-08 | 2016-09-19 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2014-09-08 | 2020-08-05 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2014-09-08 | 2016-09-19 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2014-09-08 | 2020-08-05 |
| Macquarie Asia Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2013-08-28 | 2014-06-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-08-28 | 2013-07-24 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-08-28 | 2013-07-24 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-08-28 | 2013-07-24 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2012-08-28 | 2013-07-24 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Chunan Cao during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.