Personnel Hong Kong SFC License Details (ID 108378)

Personnel Hong Kong SFC License Details (ID 108378)

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
AXA CHINA REGION INVESTMENT SERVICES LIMITED	RO	Dealing in securities	2011-12-22	2019-10-23
AIA WEALTH MANAGEMENT COMPANY LIMITED	RO	Dealing in securities	2009-04-30	2011-06-30
CHARLES SCHWAB, HONG KONG, LIMITED	RO	Advising on futures contracts	2005-10-18	2009-04-27
	RO	Advising on securities	2005-10-18	2009-04-27
	RO	Dealing in securities	2005-10-18	2009-04-27
	Rep	Advising on futures contracts	2003-11-11	2005-10-18
	Rep	Advising on securities	2003-11-11	2005-10-18
	Rep	Dealing in securities	2003-09-02	2005-10-18