Personnel Hong Kong SFC License Details (ID 2017864)

Personnel Hong Kong SFC License Details (ID 2017864)

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
Interactive Brokers Hong Kong Limited	Rep	Dealing in futures contracts	2015-05-21	-
	Rep	Dealing in securities	2015-05-21	-
	Rep	Leveraged foreign exchange trading	2015-05-21	-
Interactive Brokers LLC	Rep	Leveraged foreign exchange trading	2014-11-17	2016-12-31
	Rep	Dealing in futures contracts	2014-09-19	2016-12-31
	Rep	Dealing in securities	2014-08-15	2016-12-31
CIS SECURITIES ASSET MANAGEMENT LIMITED	Rep	Dealing in securities	2014-06-23	2014-07-31
Scottrade (Hong Kong) Limited	Rep	Dealing in securities	2013-02-01	2013-12-31