Stuart Harrington Cook
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stuart Harrington Cook ( ), a licensed former licensee with CE reference AAC359. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RAYS Capital Partners Limited 睿思資本有限公司 |
Rep | Type 4 — Advising on securities | 2018-10-03 | 2019-02-15 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-07 | 2018-04-17 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-06-07 | 2015-02-03 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2011-06-07 | 2015-02-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2011-03-08 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2011-03-08 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-12-02 |