Personnel Hong Kong SFC License Details (ID 71934)

Personnel Hong Kong SFC License Details (ID 71934)

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
BTIG Hong Kong Limited	RO	Dealing in securities	2008-04-15	2017-08-01
ETRADE SECURITIES (HONG KONG) LIMITED	RO	Leveraged foreign exchange trading	2004-09-16	2008-01-15
	RO	Advising on securities	2004-08-19	2008-01-15
	RO	Dealing in securities	2004-08-19	2008-01-15
ETRADE SECURITIES LIMITED	RO	Advising on securities	2004-08-19	2007-10-31
	RO	Dealing in securities	2004-08-19	2007-10-31
ETRADE SECURITIES (HONG KONG) LIMITED	Rep	Advising on corporate finance	-	2004-01-05
	Rep	Asset management	-	2004-01-05
	Rep	Providing automated trading services	-	2004-01-05
	Rep	Advising on securities	-	2004-08-19
	Rep	Dealing in securities	-	2004-08-19
ETRADE SECURITIES LIMITED	Rep	Advising on corporate finance	-	2004-01-05
	Rep	Asset management	-	2004-01-05
	Rep	Providing automated trading services	-	2004-01-05
	Rep	Advising on securities	-	2004-08-19
	Rep	Dealing in securities	-	2004-08-19