Chunan Cao
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chunan Cao, CE reference BAC321. Currently licensed at 2 firm(s): Morgan Stanley Asia Limited, Morgan Stanley Hong Kong Securities Limited. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2024-10-02 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 1 — Dealing in securities | 2024-10-02 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 2 — Dealing in futures contracts | 2024-10-02 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 7 — Providing automated trading services | 2024-10-02 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2020-11-03 | 2024-10-02 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2020-11-03 | 2024-10-02 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2020-11-03 | 2024-10-02 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2020-11-03 | 2024-10-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2014-09-08 | 2016-09-19 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2014-09-08 | 2020-08-05 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2014-09-08 | 2016-09-19 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2014-09-08 | 2020-08-05 |
| Macquarie Asia Securities Limited |
Rep | Type 2 — Dealing in futures contracts | 2013-08-28 | 2014-06-09 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-08-28 | 2013-07-24 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-08-28 | 2013-07-24 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-08-28 | 2013-07-24 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2012-08-28 | 2013-07-24 |