Stuart Baden Powell
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stuart Baden Powell ( ), a licensed former licensee with CE reference BDO331. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Macquarie Asia Securities Limited |
RO | Type 1 — Dealing in securities | 2021-07-14 | 2023-09-25 |
| Macquarie Asia Securities Limited |
Rep | Type 1 — Dealing in securities | 2020-09-30 | 2021-07-14 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 1 — Dealing in securities | 2018-05-21 | 2023-09-25 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 7 — Providing automated trading services | 2018-05-21 | 2023-09-25 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2016-11-16 | 2018-05-21 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 7 — Providing automated trading services | 2016-11-16 | 2018-05-21 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2015-10-15 | 2016-04-12 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2015-10-15 | 2016-04-12 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2014-06-11 | 2016-04-12 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2014-06-11 | 2016-04-12 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2014-06-11 | 2016-04-12 |