James Kenji Lord

CE No. BAX712 Ceased

This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Kenji Lord (), a licensed former licensee with CE reference BAX712. Total licence records on file: 16.

Licence history

FirmRoleRegulated activityFromTo
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 4 - Advising on securities 2025-06-02 2025-06-03
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 4 - Advising on securities 2024-10-14 2024-10-16
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 4 - Advising on securities 2023-10-09 2023-10-12
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 5 - Advising on futures contracts 2023-10-09 2023-10-12
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 1 - Dealing in securities 2023-03-01 2023-03-03
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 4 - Advising on securities 2023-03-01 2023-03-03
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 5 - Advising on futures contracts 2023-03-01 2023-03-03
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 1 - Dealing in securities 2019-09-13 2019-09-18
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 4 - Advising on securities 2019-09-13 2019-09-18
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 5 - Advising on futures contracts 2019-09-13 2019-09-18
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 1 - Dealing in securities 2018-03-06 2018-03-08
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 4 - Advising on securities 2018-03-06 2018-03-08
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 5 - Advising on futures contracts 2018-03-06 2018-03-08
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 1 - Dealing in securities 2017-02-07 2017-02-10
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 1 - Dealing in securities 2015-06-29 2015-07-03
Morgan Stanley Asia Limited
摩根士丹利亞洲有限公司
Rep Type 1 - Dealing in securities 2013-02-26 2013-03-05

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