Raul Francisco Barroso
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Raul Francisco Barroso ( ), a licensed former licensee with CE reference ALF573. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
RO | Type 4 — Advising on securities | 2016-05-16 | 2016-06-02 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 4 — Advising on securities | 2014-09-18 | 2016-05-16 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-25 | 2012-08-14 |
| Arete Research Asia Limited |
RO | Type 4 — Advising on securities | 2010-01-11 | 2010-05-09 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-09-16 | 2008-11-20 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2004-09-16 | 2008-11-20 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2004-09-16 | 2008-11-20 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2004-09-16 | 2008-11-20 |