Matthew Ruddick
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Matthew Ruddick ( ), a licensed former licensee with CE reference AKI367. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
RO | Type 4 — Advising on securities | 2013-07-08 | 2013-12-31 |
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-03-11 | 2013-12-31 |
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2013-03-11 | 2013-07-08 |
| BTIG Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2012-03-26 | 2013-02-28 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2008-06-23 | 2011-09-28 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-06-11 | 2011-09-28 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-05-18 | 2007-04-20 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2004-05-18 | 2007-04-20 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2004-05-18 | 2007-04-20 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2004-05-18 | 2007-04-20 |