Richard Marshall Tory
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Marshall Tory ( ), a licensed former licensee with CE reference AUT094. Total licence records on file: 5.
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 | 2011-10-06 | 2023-09-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-10-06 | 2023-09-26 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-02-23 | 2011-07-11 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-02-23 | 2011-07-11 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-02-23 | 2011-07-11 |