Matthew James Totham
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Matthew James Totham, a licensed former licensee with CE reference ASK165. This person has 5.7 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2013-10-10 | 2014-10-28 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2013-10-10 | 2014-10-28 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2013-10-10 | 2014-10-28 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 - Providing automated trading services | 2013-10-10 | 2014-10-28 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 7 - Providing automated trading services | 2013-07-23 | 2013-10-10 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2012-05-18 | 2013-10-10 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 1 - Dealing in securities | 2012-05-18 | 2013-10-10 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 2 - Dealing in futures contracts | 2012-05-18 | 2013-10-10 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2010-12-06 | 2012-05-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-02-03 | 2012-05-18 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2009-02-03 | 2012-05-18 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2009-02-03 | 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 | 2009-02-03 | 2013-07-23 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | 2009-02-03 | 2010-12-06 |