Andre' Lionel Carey
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andre' Lionel Carey ( ), CE reference ADV085. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Tora Trading Services Limited | RO | Type 1 — Dealing in securities | 2012-10-30 | 2013-12-17 |
| Tora Trading Services Limited | RO | Type 2 — Dealing in futures contracts | 2012-10-30 | 2013-12-17 |
| Tora Trading Services Limited | RO | Type 7 — Providing automated trading services | 2012-10-30 | 2013-12-17 |
| Tora Trading Services Limited | Rep | Type 1 — Dealing in securities | 2012-04-10 | 2012-10-30 |
| Tora Trading Services Limited | Rep | Type 2 — Dealing in futures contracts | 2012-04-10 | 2012-10-30 |
| Tora Trading Services Limited | Rep | Type 7 — Providing automated trading services | 2012-04-10 | 2012-10-30 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-02-09 | 2012-02-27 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 1 — Dealing in securities | 2011-10-20 | 2012-02-27 |
| Keefe, Bruyette & Woods Asia Limited | RO | Type 1 — Dealing in securities | 2010-03-03 | 2011-07-28 |
| Fox-Pitt, Kelton (Asia) Limited | RO | Type 1 — Dealing in securities | 2006-05-30 | 2009-10-16 |
| Fox-Pitt, Kelton (Asia) Limited | Rep | Type 1 — Dealing in securities | 2006-04-24 | 2006-05-30 |
| Newedge Broker Limited 新際經紀有限公司 |
RO | Type 1 — Dealing in securities | 2005-04-08 | 2006-03-31 |
| Newedge Broker Limited 新際經紀有限公司 |
RO | Type 7 — Providing automated trading services | 2005-04-08 | 2006-03-31 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-11-02 | 2006-03-31 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 7 — Providing automated trading services | 2004-11-02 | 2005-04-08 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2004-10-27 | 2005-04-08 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-12-22 | 2004-10-04 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2003-12-22 | 2004-10-04 |