Michael Anthony Garcia
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Michael Anthony Garcia ( ), a licensed former licensee with CE reference AFJ284. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Artisan Partners Hong Kong Limited |
RO | Type 1 — Dealing in securities | 2023-10-19 | 2025-05-20 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-13 | 2019-07-13 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-04-13 | 2019-07-13 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-07-15 | 2015-01-08 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-07-15 | 2015-01-08 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-08-24 | 2013-03-28 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-08-24 | 2013-03-28 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-05-16 | 2010-05-12 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2005-04-23 | 2010-05-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2004-03-16 | 2010-05-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2004-03-16 | 2005-04-23 |
| Virtu ITG Hong Kong Limited |
RO | Type 7 — Providing automated trading services | 2003-05-12 | 2004-02-12 |
| Virtu ITG Hong Kong Limited |
RO | Type 1 — Dealing in securities | present | 2004-02-12 |
| ITG Securities (Asia) Limited |
RO | Type 1 — Dealing in securities | present | 2003-04-25 |
| ITG Securities (Asia) Limited |
RO | Type 4 — Advising on securities | present | 2003-04-25 |
| ITG Securities (Asia) Limited |
RO | Type 6 — Advising on corporate finance | present | 2003-04-25 |
| ITG Securities (Asia) Limited |
RO | Type 9 — Asset management | present | 2003-04-25 |