Stuart Michael Thompson
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stuart Michael Thompson, a licensed Responsible Officer with CE reference BCA281. Currently licensed at 1 firm(s): Liquidnet Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 7 — Providing automated trading services. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2015-03-19 | present |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
RO | Type 7 — Providing automated trading services | 2015-03-19 | present |
| Liquidnet Asia Limited 利貫交易網亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-10-16 | 2015-03-19 |