Personnel Hong Kong SFC License Details (ID 72863)

Personnel Hong Kong SFC License Details (ID 72863)

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
HARVEST GLOBAL INVESTMENTS LIMITED	RO	Advising on securities	2016-03-11	2019-11-04
	RO	Asset management	2016-03-11	2019-11-04
	RO	Dealing in securities	2016-03-11	2019-11-04
	Rep	Advising on securities	2016-01-07	2016-03-11
	Rep	Dealing in securities	2016-01-07	2016-03-11
CHARLES SCHWAB, HONG KONG, LIMITED	RO	Advising on futures contracts	2006-05-11	2015-12-24
	RO	Advising on securities	2006-05-11	2015-12-24
	RO	Dealing in securities	2006-05-11	2015-12-24
	Rep	Advising on futures contracts	2004-06-17	2005-07-02
	Rep	Advising on securities	2004-06-17	2005-07-02
	Rep	Dealing in securities	2004-02-11	2005-07-02