Gokul Laroia
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gokul Laroia, a licensed Responsible Officer with CE reference AEF968. Currently licensed at 2 firm(s): Morgan Stanley Hong Kong Securities Limited, Morgan Stanley Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts; Type 6 — Advising on corporate finance; Type 7 — Providing automated trading services; Type 9 — Asset management. Total licence records on file: 14.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →More firms doing Advising on corporate finance →More firms doing Providing automated trading services →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Hong Kong Securities Limited | RO | Type 2 — Dealing in futures contracts | 2014-07-10 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 5 — Advising on futures contracts | 2014-07-10 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-07-10 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 9 — Asset management | 2014-07-10 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 7 — Providing automated trading services | 2013-07-23 | present |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 1 — Dealing in securities | 2011-07-28 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 4 — Advising on securities | 2011-07-28 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2006-12-13 | present |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 7 — Providing automated trading services | 2011-07-28 | 2013-07-23 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2006-12-13 | 2011-07-28 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-12-13 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-11 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2006-12-13 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-02-11 |