Seiji Horiguchi
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Seiji Horiguchi ( ), a licensed former licensee with CE reference BEC557. 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 |
Rep | Type 1 - Dealing in securities | 2018-10-10 | 2022-03-30 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2018-10-10 | 2022-03-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-09-30 | 2016-10-06 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2016-09-30 | 2016-10-06 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2016-09-30 | 2016-10-06 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2016-03-09 | 2016-03-11 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2016-03-09 | 2016-03-11 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2016-03-09 | 2016-03-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-11-30 | 2015-12-05 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2015-11-30 | 2015-12-05 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2015-11-30 | 2015-12-05 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2015-04-27 | 2015-04-30 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2015-04-27 | 2015-04-30 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2015-04-27 | 2015-04-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2014-09-03 | 2014-09-05 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2014-09-03 | 2014-09-05 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2014-09-03 | 2014-09-05 |