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THOMPSON Stuart Michael

CE BCA281Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

THOMPSON Stuart Michael (CE number BCA281) is an individual licensed by the Hong Kong SFC. First licensed on 2013-10-16. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 7 (Automated trading). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 7 Providing Automated Trading Services

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerLiquidnet Asia Limited
利貫交易網亞洲有限公司

Licence Record (2)

2015-03-19 – present Current
Liquidnet Asia Limited RO
RA 1 RA 7
2013-10-16 – 2015-03-19
Liquidnet Asia Limited Rep
RA 1

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/BCA281