Stephen Thompson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Thompson, a licensed former licensee with CE reference ANQ086. This person has 8.6 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2013-09-16 | 2015-04-30 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2013-09-16 | 2015-04-30 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2013-09-16 | 2015-04-30 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2010-12-06 | 2013-06-26 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2006-07-17 | 2013-06-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-07-17 | 2013-06-14 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2006-07-17 | 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 | 2006-07-17 | 2013-06-14 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | 2006-07-17 | 2010-12-06 |