Stephen Robert Farrell
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Robert Farrell, a licensed Representative with CE reference APW070. Currently licensed at 1 firm(s): Barclays Capital Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2020-10-05 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2020-09-01 | present |
| Virtu ITG Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2016-07-07 | 2020-08-15 |
| Virtu ITG Hong Kong Limited |
Rep | Type 7 — Providing automated trading services | 2016-07-07 | 2020-08-15 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-03 | 2016-04-08 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-30 | 2012-06-30 |