Shogo Sawada
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shogo Sawada ( ), a licensed former licensee with CE reference BII582. Total licence records on file: 7.
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 | 2023-03-20 | 2023-03-27 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2023-03-20 | 2023-03-27 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-08-25 | 2019-03-02 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2017-08-25 | 2019-03-02 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2017-06-01 | 2017-06-08 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2016-10-13 | 2016-10-20 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2016-10-13 | 2016-10-20 |