Nicholas Peter Wallum
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Peter Wallum ( ), a licensed former licensee with CE reference APW080. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2015-12-16 | 2019-12-10 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 1 — Dealing in securities | 2015-12-16 | 2019-12-10 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 2 — Dealing in futures contracts | 2015-12-16 | 2019-12-10 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 7 — Providing automated trading services | 2015-12-16 | 2019-12-10 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2013-07-24 | 2015-12-16 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2015-12-16 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2009-11-19 | 2013-07-24 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2009-11-19 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-11-02 | 2015-12-16 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2009-11-02 | 2015-12-16 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2009-11-02 | 2010-12-06 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-10-22 | 2009-09-09 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2007-10-22 | 2009-09-09 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2007-10-22 | 2009-09-09 |