Personnel Hong Kong SFC License Details (ID 68734)

Personnel Hong Kong SFC License Details (ID 68734)

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	RO	Advising on securities	2011-09-28	2024-04-09
	RO	Dealing in securities	2011-09-28	2024-04-09
AllianceBernstein Hong Kong Limited	RO	Advising on securities	2010-09-07	2011-10-24
	RO	Dealing in securities	2010-09-07	2011-10-24
	Rep	Advising on securities	2010-06-21	2010-09-07
	Rep	Dealing in securities	2010-06-21	2010-09-07
ICAP Equities Asia Limited	RO	Advising on securities	2008-12-22	2010-04-30
	RO	Dealing in securities	2008-12-22	2010-04-30
RBS Asia Futures Limited	Rep	Dealing in futures contracts	2003-09-04	2008-09-01
Credit Agricole Securities (Asia) Limited	Rep	Advising on corporate finance	-	2003-09-01
	Rep	Advising on securities	-	2003-09-01
	Rep	Asset management	-	2003-09-01
	Rep	Dealing in securities	-	2008-09-01
RBS Asia Securities (Hong Kong) Limited	Rep	Advising on corporate finance	-	2003-09-01
	Rep	Advising on securities	-	2003-09-01
	Rep	Asset management	-	2003-09-01
	Rep	Dealing in securities	-	2005-02-04