Richard Oliver Henry Smerin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Oliver Henry Smerin ( ), a licensed former licensee with CE reference ATD515. Total licence records on file: 13.
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 | 2024-06-14 | 2026-02-06 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 1 — Dealing in securities | 2024-06-14 | 2026-02-06 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 2 — Dealing in futures contracts | 2024-06-14 | 2026-02-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 4 — Advising on securities | 2024-06-14 | 2026-02-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
RO | Type 5 — Advising on futures contracts | 2024-06-14 | 2026-02-06 |
| Morgan Stanley Hong Kong Securities Limited | RO | Type 7 — Providing automated trading services | 2024-06-14 | 2026-02-06 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2013-07-24 | 2024-06-14 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2024-06-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-22 | 2024-06-14 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2009-06-22 | 2024-06-14 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2009-06-22 | 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 | 2009-06-22 | 2013-07-24 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2009-06-22 | 2010-12-06 |