Personnel Hong Kong SFC License Details (ID 79316)

Personnel Hong Kong SFC License Details (ID 79316)

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
CHARLES SCHWAB, HONG KONG, LIMITED	Rep	Advising on securities	2019-11-05	2022-03-31
	Rep	Dealing in securities	2019-11-05	2022-03-31
	Rep	Advising on securities	2017-06-20	2019-03-29
	Rep	Dealing in securities	2017-06-20	2019-03-29
ETRADE SECURITIES (HONG KONG) LIMITED	Rep	Leveraged foreign exchange trading	2006-04-28	2010-11-01
	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	-	2016-03-10
	Rep	Dealing in securities	-	2016-03-10
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	-	2007-10-31
	Rep	Dealing in securities	-	2007-10-31