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. Total licence records on file: 10.
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 | present | 2005-11-08 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | present | 2005-11-08 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | present | 2005-11-08 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | present | 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 | present | 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 | present | 2005-11-08 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | present | 2005-11-08 |