Stephen Colin Moss
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Colin Moss ( ), a licensed former licensee with CE reference AFD726. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Securities (Asia) Limited | Rep | Type 1 — Dealing in securities | 2004-02-12 | 2004-02-12 |
| HSBC Securities (Asia) Limited | RO | Type 1 — Dealing in securities | present | 2004-02-12 |
| HSBC Securities (Asia) Limited | RO | Type 4 — Advising on securities | present | 2004-02-12 |
| HSBC Securities (Asia) Limited | RO | Type 6 — Advising on corporate finance | present | 2004-02-12 |
| HSBC Securities (Asia) Limited | RO | Type 9 — Asset management | present | 2004-02-12 |