Denis Mac Carthy
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Denis Mac Carthy ( ), a licensed former licensee with CE reference AGK114. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2009-03-27 | 2009-12-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2004-11-25 | 2009-12-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-01-08 | 2009-12-11 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
RO | Type 5 — Advising on futures contracts | 2004-01-08 | 2009-12-11 |
| Deutsche Futures Hong Kong Limited 德意志期貨香港有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-07-07 | 2004-06-29 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2003-06-09 | 2004-11-25 |
| Deutsche Futures Hong Kong Limited 德意志期貨香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-06-09 | 2003-07-07 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2003-04-10 | 2003-05-12 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-12 |
| Morgan Stanley Hong Kong Futures Limited | RO | Type 2 — Dealing in futures contracts | present | 2003-05-12 |
| Morgan Stanley Hong Kong Futures Limited | RO | Type 7 — Providing automated trading services | present | 2003-05-12 |