Personnel Hong Kong SFC License Details (ID 134460)

Personnel Hong Kong SFC License Details (ID 134460)

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
AllianceBernstein Hong Kong Limited	Rep	Dealing in futures contracts	2018-05-07	2018-05-11
	Rep	Dealing in securities	2018-05-07	2018-05-11
	Rep	Dealing in futures contracts	2017-03-20	2017-03-23
	Rep	Dealing in securities	2017-03-20	2017-03-23
	Rep	Dealing in futures contracts	2015-04-15	2015-07-14
	Rep	Dealing in securities	2015-04-15	2015-07-14
	Rep	Dealing in futures contracts	2014-02-26	2014-02-28
	Rep	Dealing in securities	2014-02-26	2014-02-28
	Rep	Dealing in futures contracts	2012-10-29	2012-11-02
	Rep	Dealing in securities	2012-10-29	2012-11-02
	Rep	Dealing in futures contracts	2012-02-13	2012-02-17
	Rep	Dealing in securities	2012-02-13	2012-02-17
	Rep	Dealing in futures contracts	2011-12-05	2011-12-09
	Rep	Dealing in securities	2011-12-05	2011-12-09