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CHEAH Sim Ee

謝心懿
CE ANM987Licensed IndividualResponsible OfficerExecutive OfficerSFO licence active
Official SFC record

CHEAH Sim Ee (CE number ANM987) is an individual licensed by the Hong Kong SFC. First licensed on 2006-06-16. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 7 (Automated trading). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 7 Providing Automated Trading Services

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerJ.P. Morgan Broking (Hong Kong) Limited
Executive OfficerJ.P. Morgan Securities (Asia Pacific) Limited

Licence Record (6)

2020-01-13 – present Current
J.P. Morgan Broking (Hong Kong) Limited RO
RA 2 RA 5
2015-11-18 – 2020-01-13
J.P. Morgan Broking (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 5
2013-01-21 – 2014-11-11
Credit Suisse Securities (Hong Kong) Limited Rep
RA 1
2010-03-04 – 2015-08-19
Credit Suisse (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 7
2006-06-16 – 2007-02-28
Morgan Stanley Asia Limited Rep
RA 1 RA 7
2006-06-16 – 2007-02-28
Morgan Stanley Hong Kong Futures Limited Rep
RA 2 RA 7

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ANM987