Su Fen Sim
沈素芬
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Su Fen Sim (沈素芬), a licensed former licensee with CE reference AAD227. This person has 3.5 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-07-03 | 2008-05-30 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-07-03 | 2008-05-30 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2007-07-03 | 2008-05-30 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-11-08 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-11-08 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2005-11-08 |
| 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 | 2005-11-08 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2005-11-08 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Su Fen Sim 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.