Stephen Samuel Roach
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Samuel Roach ( ), a licensed former licensee with CE reference APH028. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-07-29 | 2012-04-02 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2010-07-29 | 2012-04-02 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-07-29 | 2012-04-02 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2008-03-04 | 2010-07-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 4 - Advising on securities | 2008-03-04 | 2010-07-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 5 - Advising on futures contracts | 2008-03-04 | 2010-07-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2008-03-04 | 2010-07-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 7 - Providing automated trading services | 2008-03-04 | 2010-07-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-07-20 | 2008-03-04 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2007-07-20 | 2008-03-04 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 5 - Advising on futures contracts | 2007-07-20 | 2008-03-04 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-07-20 | 2008-03-04 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2007-07-20 | 2008-03-04 |