Robert Thomas Vaudry
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Robert Thomas Vaudry ( ), a licensed former licensee with CE reference AGN906. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Securities (Asia) Limited | RO | Type 1 — Dealing in securities | 2004-08-12 | 2005-11-12 |
| HSBC Securities (Asia) Limited | RO | Type 4 — Advising on securities | 2004-08-12 | 2005-11-12 |
| HSBC Securities (Asia) Limited | Rep | Type 1 — Dealing in securities | 2004-07-19 | 2004-08-12 |
| HSBC Securities (Asia) Limited | Rep | Type 4 — Advising on securities | 2004-07-19 | 2004-08-12 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2003-09-26 | 2004-06-23 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 4 — Advising on securities | 2003-09-26 | 2004-06-23 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-09-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-07-30 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-07-30 |