Anthony Jeetendra Stephens
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Anthony Jeetendra Stephens ( ), a licensed former licensee with CE reference AQI796. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 - Dealing in securities | 2023-08-23 | 2024-07-24 |
| Merrill Lynch Far East Limited | RO | Type 1 - Dealing in securities | 2023-08-23 | 2024-07-24 |
| Merrill Lynch Far East Limited | RO | Type 2 - Dealing in futures contracts | 2023-08-23 | 2024-07-24 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2021-06-30 | 2023-08-23 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2021-06-30 | 2023-08-23 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2021-06-30 | 2023-08-23 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | 2018-02-08 | 2021-03-12 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-01-29 | 2021-03-12 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-01-29 | 2021-03-12 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-01-29 | 2021-03-12 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 - Dealing in securities | 2016-10-11 | 2017-10-17 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-10-11 | 2017-10-17 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2014-07-31 | 2017-10-17 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-07-31 | 2016-10-10 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-07-31 | 2016-10-10 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2012-05-21 | 2014-05-15 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2012-05-21 | 2014-05-15 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2012-05-21 | 2014-05-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2008-01-22 | 2010-03-19 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2008-01-22 | 2010-03-19 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2008-01-22 | 2010-03-19 |