Personnel Hong Kong SFC License Details (ID 104492)

Personnel Hong Kong SFC License Details (ID 104492)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
SoFi Securities (Hong Kong) Limited	RO	Advising on securities	2024-09-20	2025-05-05
	RO	Dealing in securities	2024-09-20	2025-05-05
	RO	Advising on securities	2015-12-01	2022-11-30
	RO	Dealing in securities	2011-12-22	2022-11-30
ETRADE SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2007-11-30	2010-09-14
	RO	Dealing in securities	2007-11-30	2010-09-14
	RO	Leveraged foreign exchange trading	2007-11-30	2010-09-14
	Rep	Advising on securities	2005-09-29	2007-11-30
	Rep	Dealing in securities	2004-12-08	2007-11-30
	Rep	Leveraged foreign exchange trading	2004-12-08	2007-11-30