Andrea Wai Ming Gordon
陳慧明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrea Wai Ming Gordon (陳慧明), CE reference ALB904. Currently licensed at 1 firm(s): Barclays Capital Asia Limited. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2022-07-26 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2022-07-26 | present |
| Macquarie Asia Securities Limited |
Rep | Type 1 — Dealing in securities | 2020-09-30 | 2022-03-25 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 7 — Providing automated trading services | 2017-07-07 | 2022-03-25 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2016-03-03 | 2022-03-25 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 7 — Providing automated trading services | 2016-03-03 | 2016-04-25 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 1 — Dealing in securities | 2014-03-27 | 2016-03-03 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 7 — Providing automated trading services | 2013-07-09 | 2016-03-03 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-30 | 2014-03-27 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2007-10-25 | 2010-04-19 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2007-10-25 | 2010-04-19 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2007-10-05 | 2010-04-19 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-10-05 | 2010-04-19 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2006-12-14 | 2007-04-14 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2006-08-16 | 2007-04-14 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2006-08-16 | 2007-04-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2006-04-18 | 2006-07-15 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2006-04-18 | 2006-07-15 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2006-04-18 | 2006-07-15 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2005-07-06 | 2006-03-14 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2005-07-06 | 2006-03-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-08-12 | 2006-03-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2004-08-12 | 2006-03-14 |