Stephen Lawrence Woodrow
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Lawrence Woodrow ( ), a licensed former licensee with CE reference AQQ821. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-02-01 | 2023-09-29 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-02-01 | 2023-09-29 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2014-06-20 | 2016-04-29 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-06-20 | 2016-07-29 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2014-06-20 | 2016-04-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2009-06-15 | 2013-11-04 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2009-06-15 | 2013-11-04 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2008-07-14 | 2013-11-04 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2008-06-18 | 2013-11-04 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-03-17 | 2009-11-23 |