Anthony Douglas Allen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Anthony Douglas Allen ( ), a licensed former licensee with CE reference APX071. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2013-10-18 | 2017-03-15 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2013-10-18 | 2017-03-15 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2013-10-18 | 2017-03-15 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2013-07-18 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2009-06-11 | 2013-07-18 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-13 | 2013-07-18 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2007-11-13 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2007-11-13 | 2013-07-24 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2007-11-13 | 2010-12-06 |