Harriet Anne Caldwell
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Harriet Anne Caldwell, CE reference BIE126. Currently licensed at 1 firm(s): Merrill Lynch Far East Limited. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2023-01-31 | present |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2022-06-07 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2016-09-22 | 2022-03-02 |