Stephen Michael Prince
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Michael Prince ( ), a licensed former licensee with CE reference AQI114. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2023-05-15 | 2024-03-25 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2023-05-15 | 2024-03-25 |
| Segantii Capital Management Limited | Rep | Type 9 - Asset management | 2021-11-24 | 2022-12-09 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 - Providing automated trading services | 2013-07-24 | 2021-09-24 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-08-08 | 2021-09-24 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2011-08-08 | 2021-09-24 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2011-08-08 | 2021-09-24 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2011-08-08 | 2013-07-24 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2008-01-15 | 2011-07-06 |