Philip Robert Wallace
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Philip Robert Wallace, a licensed Representative with CE reference ANZ783. Currently licensed at 2 firm(s): Goldman Sachs (Asia) L.L.C., Goldman Sachs (Asia) Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2022-08-18 | present |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 - Dealing in securities | 2022-08-18 | present |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2022-08-18 | present |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-01-21 | 2022-07-29 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-01-21 | 2022-07-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-01-21 | 2022-07-29 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-01-13 | 2018-10-04 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-01-13 | 2018-10-04 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 - Providing automated trading services | 2013-07-24 | 2013-09-13 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2010-12-06 | 2013-09-13 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2007-08-15 | 2013-09-13 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-09-22 | 2013-09-13 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2006-09-22 | 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 | 2006-09-22 | 2013-07-24 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | 2006-09-22 | 2010-12-06 |