Stephen Colin Moss
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Colin Moss, a licensed former licensee with CE reference AFD726. This person has 0.9 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Securities (Asia) Limited | Rep | Type 1 - Dealing in securities | 2004-02-12 | 2004-02-12 |
| HSBC Securities (Asia) Limited | RO | Type 1 - Dealing in securities | Pre-2003 | 2004-02-12 |
| HSBC Securities (Asia) Limited | RO | Type 4 - Advising on securities | Pre-2003 | 2004-02-12 |
| HSBC Securities (Asia) Limited | RO | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-12 |
| HSBC Securities (Asia) Limited | RO | Type 9 - Asset management | Pre-2003 | 2004-02-12 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Stephen Colin Moss during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.