Personnel Hong Kong SFC License Details (ID 2277543)

Personnel Hong Kong SFC License Details (ID 2277543)

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	Dealing in securities	2025-11-25	-
	Rep	Dealing in securities	2025-06-09	2025-06-13
	Rep	Dealing in securities	2025-03-27	2025-04-03
	Rep	Dealing in securities	2025-02-17	2025-02-21
	Rep	Dealing in securities	2024-11-04	2024-11-10
	Rep	Dealing in securities	2024-05-06	2024-05-10
	Rep	Dealing in securities	2023-05-05	2023-05-12
	Rep	Advising on securities	2018-09-10	2018-09-14
	Rep	Advising on securities	2018-05-07	2018-05-11
	Rep	Advising on securities	2017-08-07	2017-08-11
	Rep	Advising on securities	2017-02-27	2017-03-03
	Rep	Advising on securities	2016-10-24	2016-10-28
	Rep	Advising on securities	2016-02-29	2016-03-04
	Rep	Advising on securities	2015-11-30	2015-12-04
	Rep	Advising on securities	2015-04-30	2015-05-06
	Rep	Advising on securities	2014-08-25	2014-08-29
	Rep	Advising on securities	2014-06-05	2014-06-08