Marcus James Finbarr Walsh
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Marcus James Finbarr Walsh, a licensed Responsible Officer with CE reference AAW329. Currently licensed at 1 firm(s): Morgan Stanley Asia Limited. Active regulated activities: Type 4 - Advising on securities; Type 5 - Advising on futures contracts. This person has 23.3 years of SFC licence history. Total licence records on file: 10.
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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 5 - Advising on futures contracts | 2023-12-14 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 4 - Advising on securities | 2004-11-30 | present |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2010-12-06 | 2023-10-30 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2009-05-19 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 5 - Advising on futures contracts | 2006-09-22 | 2023-12-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2004-11-30 | 2024-05-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2004-11-30 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-11-30 |
| 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 | 2004-02-11 |