Sangwook Ha
河尚旭
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sangwook Ha (河尚旭), a licensed Representative with CE reference AQA451. Currently licensed at 2 firm(s): Merrill Lynch (Asia Pacific) Limited, Merrill Lynch Far East Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 18.5 years of SFC licence history. Total licence records on file: 8.
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2012-08-13 | present |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2012-08-13 | present |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2012-08-13 | present |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2010-12-06 | 2012-06-13 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-11-21 | 2012-06-13 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2007-11-21 | 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 | 2007-11-21 | 2012-06-13 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | 2007-11-21 | 2010-12-06 |