James Yu-Chun Chiu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Yu-Chun Chiu ( ), a licensed former licensee with CE reference AKX097. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2008-10-27 | 2009-05-18 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2008-10-06 | 2009-05-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-07-28 | 2008-09-24 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2004-07-28 | 2007-10-26 |