James Christopher Grafton
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Christopher Grafton ( ), a licensed former licensee with CE reference AQJ413. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2020-12-22 | 2022-01-31 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-09-13 | 2020-12-22 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-02-06 | 2018-01-08 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2017-02-06 | 2018-01-08 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2017-02-06 | 2018-01-08 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2017-02-06 | 2018-01-08 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2014-06-04 | 2017-02-06 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 1 — Dealing in securities | 2014-06-04 | 2017-02-06 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 2 — Dealing in futures contracts | 2014-06-04 | 2017-02-06 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 7 — Providing automated trading services | 2014-06-04 | 2017-02-06 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2013-07-24 | 2014-06-04 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2014-06-04 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-01-29 | 2014-06-04 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2008-01-29 | 2014-06-04 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2008-01-29 | 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 | 2008-01-29 | 2013-07-24 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2008-01-29 | 2010-12-06 |