Personnel Hong Kong SFC License Details (ID 131455)

Personnel Hong Kong SFC License Details (ID 131455)

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
Sanford C. Bernstein (Hong Kong) Limited	Rep	Advising on securities	2020-06-11	2023-07-03
	Rep	Dealing in securities	2020-06-11	2023-07-03
	RO	Advising on securities	2012-10-10	2016-07-30
	RO	Dealing in securities	2012-10-10	2016-07-30
	Rep	Advising on securities	2012-09-24	2012-10-10
	Rep	Dealing in securities	2012-09-24	2012-10-10
	Rep	Advising on securities	2012-08-20	2012-08-21
	Rep	Advising on securities	2012-07-09	2012-07-10
	Rep	Advising on securities	2012-05-02	2012-05-04
	Rep	Advising on securities	2012-02-27	2012-02-28
	Rep	Advising on securities	2012-01-16	2012-01-17
	Rep	Advising on securities	2011-11-23	2011-11-25
AllianceBernstein Hong Kong Limited	Rep	Advising on securities	2011-08-22	2011-08-25