Sim Ee Cheah
謝心懿
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sim Ee Cheah (謝心懿), a licensed Responsible Officer with CE reference ANM987. Currently licensed at 1 firm(s): J.P. Morgan Broking (Hong Kong) Limited. Active regulated activities: Type 2 — Dealing in futures contracts; Type 5 — Advising on futures contracts. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2020-01-13 | present |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2020-01-13 | present |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-11-18 | 2016-10-31 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2015-11-18 | 2020-01-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2015-11-18 | 2016-10-31 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2015-11-18 | 2020-01-13 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-02-06 | 2015-08-19 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-01-21 | 2014-11-11 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-03-04 | 2015-08-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-03-04 | 2015-08-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2010-03-04 | 2013-11-01 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-16 | 2007-02-28 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2006-06-16 | 2007-02-28 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2006-06-16 | 2007-02-28 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2006-06-16 | 2007-02-28 |