Steven James Hersey
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven James Hersey ( ), a licensed former licensee with CE reference APK597. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-02-07 | 2022-04-19 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-02-07 | 2022-04-19 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 — Dealing in securities | 2013-10-09 | 2016-08-09 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 — Advising on securities | 2013-10-09 | 2016-08-09 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2012-09-25 | 2016-08-09 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2012-09-25 | 2016-08-09 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2012-06-13 | 2015-11-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2012-06-13 | 2015-11-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2011-11-15 | 2012-09-25 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2011-11-15 | 2012-09-25 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-11-06 | 2011-08-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | 2008-11-06 | 2011-08-16 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-12-12 | 2008-11-24 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2007-12-12 | 2008-11-24 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-08-15 | 2011-08-16 |