Personnel SFC Licences and HKMA Registrations (ID 72864)

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
CHARLES SCHWAB, HONG KONG, LIMITED	RO	Advising on securities	2005-12-07	-
	RO	Dealing in securities	2005-12-07	-
	RO	Advising on futures contracts	2005-12-07	2016-08-31

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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