Caroline Grace Jarrett
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Caroline Grace Jarrett ( ), a licensed former licensee with CE reference AKP607. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-11 | 2022-06-01 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-10-11 | 2022-06-01 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 7 — Providing automated trading services | 2016-10-11 | 2022-06-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2015-08-26 | 2022-06-01 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-08-26 | 2016-10-10 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-08-26 | 2016-10-10 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 7 — Providing automated trading services | 2015-08-26 | 2016-10-10 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2013-08-06 | 2014-04-16 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2013-08-06 | 2014-04-16 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2013-07-24 | 2014-08-04 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2014-08-04 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-09-11 | 2014-08-04 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2006-09-11 | 2014-08-04 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2006-09-11 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2006-09-11 | 2013-07-24 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2006-09-11 | 2010-12-06 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2004-07-15 | 2006-08-11 |