Shu Caroline Xie
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shu Caroline Xie, a licensed former licensee with CE reference AXO511. This person has 2.1 years of SFC licence history. Total licence records on file: 2.
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 | 2011-07-11 | 2013-08-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-07-11 | 2013-08-26 |