Simon Sims
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Sims, a licensed Responsible Officer with CE reference APJ780. Currently licensed at 2 firm(s): Morgan Stanley Asia Limited, Morgan Stanley Hong Kong Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 7 - Providing automated trading services. This person has 18.9 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2024-03-27 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 1 - Dealing in securities | 2024-03-27 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 2 - Dealing in futures contracts | 2024-03-27 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 7 - Providing automated trading services | 2024-03-27 | present |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 - Providing automated trading services | 2013-07-24 | 2024-03-27 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2013-05-09 | 2024-03-27 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2011-07-29 | 2024-03-27 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2011-07-29 | 2013-07-24 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-08-08 | 2024-03-27 |