Steven James Hersey

CE No. APK597 Ceased

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

FirmRoleRegulated activityFromTo
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

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