Personnel Hong Kong SFC License Details (ID 69586)

Personnel Hong Kong SFC License Details (ID 69586)

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	Dealing in securities	2024-03-28	-
SG SECURITIES (HK) LIMITED	RO	Dealing in securities	2020-07-22	-
	Rep	Dealing in futures contracts	2020-05-08	-
	Rep	Dealing in securities	2020-04-24	2020-07-22
HSBC SECURITIES BROKERS (ASIA) LIMITED	RO	Dealing in securities	2016-01-28	2019-11-21
	Rep	Dealing in securities	2015-08-28	2016-01-28
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2010-07-15	2015-05-21
	Rep	Dealing in securities	2010-07-15	2015-05-21