Judy Tom
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Judy Tom ( ), a licensed former licensee with CE reference ADQ241. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2017-12-05 | 2022-12-31 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | 2017-12-05 | 2022-12-31 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
RO | Type 1 — Dealing in securities | 2016-08-11 | 2017-11-22 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2016-05-30 | 2016-08-11 |
| Sanford C. Bernstein (Hong Kong) Limited 盛博香港有限公司 |
Rep | Type 4 — Advising on securities | 2016-05-30 | 2017-11-22 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2016-01-01 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-15 | 2016-01-01 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2009-09-15 | 2010-12-06 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 4 — Advising on securities | 2009-03-09 | 2009-08-01 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2009-03-02 | 2009-08-01 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-03-02 | 2009-08-01 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2004-01-13 | 2008-11-20 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2004-01-13 | 2008-11-20 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2008-11-20 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-12-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-12-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2008-11-20 |