Sergio Takeo Morita
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sergio Takeo Morita ( ), a licensed former licensee with CE reference ATL817. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Peak Capital Limited | Rep | Type 1 — Dealing in securities | 2020-11-23 | 2023-04-12 |
| Peak Capital Limited | Rep | Type 4 — Advising on securities | 2020-11-23 | 2023-04-12 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-06-20 | 2019-10-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 — Advising on securities | 2018-06-20 | 2019-10-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-04-03 | 2018-06-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-04-03 | 2018-06-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2013-04-02 | 2014-03-01 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2013-04-02 | 2014-03-01 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-08-20 | 2012-04-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2009-07-29 | 2012-04-02 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2009-07-29 | 2010-08-20 |