Steven Robert Cain
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven Robert Cain ( ), a licensed former licensee with CE reference AGD094. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2007-11-08 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | present | 2007-11-08 |
| 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 | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2007-11-08 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | present | 2007-11-08 |