Philip Tsao
曹為實
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Philip Tsao (曹為實), a licensed former licensee with CE reference AEF812. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-06-30 | 2015-02-11 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-06-30 | 2015-02-11 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2010-12-06 | 2011-03-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-02-26 | 2011-03-29 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2010-02-26 | 2011-03-29 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2010-02-26 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2010-02-26 | 2011-03-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 5 - Advising on futures contracts | 2010-02-26 | 2011-03-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2010-02-26 | 2011-03-29 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | 2010-02-26 | 2010-12-06 |