Stephen Gerald Cook
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Gerald Cook ( ), a licensed former licensee with CE reference AIC255. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2008-08-20 | 2008-09-10 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-08-20 | 2008-09-10 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2003-05-23 | 2004-08-18 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-08-18 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-05-20 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-08-18 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-20 |