Gokul Laroia
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gokul Laroia, a licensed Responsible Officer with CE reference AEF968. Currently licensed at 2 firm(s): Morgan Stanley Hong Kong Securities Limited, Morgan Stanley Asia Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 5 - Advising on futures contracts; Type 6 - Advising on corporate finance; Type 7 - Providing automated trading services; Type 9 - Asset management. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Hong Kong Securities Limited | RO | Type 2 - Dealing in futures contracts | 2014-07-10 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 5 - Advising on futures contracts | 2014-07-10 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2014-07-10 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 9 - Asset management | 2014-07-10 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 7 - Providing automated trading services | 2013-07-23 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 1 - Dealing in securities | 2011-07-28 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 4 - Advising on securities | 2011-07-28 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2006-12-13 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 7 - Providing automated trading services | 2011-07-28 | 2013-07-23 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2006-12-13 | 2011-07-28 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | present | 2006-12-13 |
| 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 | 2006-12-13 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | present | 2004-02-11 |