Joseph John Sarcona III
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joseph John Sarcona III ( ), a licensed former licensee with CE reference AQH197. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 - Providing automated trading services | 2013-07-24 | 2015-10-09 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2010-12-06 | 2016-07-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-01-21 | 2016-07-11 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2008-01-21 | 2015-09-22 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2008-01-21 | 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 | 2008-01-21 | 2013-07-24 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | 2008-01-21 | 2010-12-06 |