Timothy John Griffin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Timothy John Griffin ( ), a licensed former licensee with CE reference APL688. Total licence records on file: 28.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2018-11-14 | 2021-07-16 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2018-11-14 | 2021-07-16 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2018-11-14 | 2021-07-16 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2018-11-14 | 2021-07-16 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2011-08-30 | 2018-11-14 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2011-08-30 | 2018-11-14 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2011-08-30 | 2018-11-14 |
| J.P. Morgan Broking (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2011-08-30 | 2018-11-14 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-07-20 | 2011-08-30 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2011-07-20 | 2011-08-30 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-07-20 | 2011-08-30 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2011-07-20 | 2011-08-30 |
| 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 | 2011-04-20 |
| 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 | 2011-04-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-04-29 | 2011-04-20 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-04-29 | 2011-04-20 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-04-29 | 2008-11-24 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | 2008-04-29 | 2008-11-24 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 1 — Dealing in securities | 2008-03-06 | 2008-03-31 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-03-06 | 2008-03-31 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 4 — Advising on securities | 2008-03-06 | 2008-03-31 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 5 — Advising on futures contracts | 2008-03-06 | 2008-03-31 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-08-29 | 2007-11-27 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2007-08-29 | 2007-11-27 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2007-08-29 | 2007-11-27 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2007-08-29 | 2007-11-27 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2007-08-29 | 2007-11-27 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2007-08-29 | 2007-11-27 |