Dal Broi, David
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2011-09-05 | 2015-04-13 | Rep | Advising on securities | 2011-09-05 | 2015-04-13 | Rep | Dealing in futures contracts | 2011-09-05 | 2015-04-13 | Rep | Dealing in securities | 2011-09-05 | 2015-04-13 |
| 2 | Leonteq Securities (Hong Kong) Limited | RO | Advising on securities | 2022-04-14 | 2023-11-15 | RO | Dealing in securities | 2022-04-14 | 2023-11-15 |
| 3 | Newedge Broker Hong Kong Limited | Rep | Dealing in futures contracts | 2015-06-10 | 2016-07-29 |
| 4 | Saxo Capital Markets HK Limited | Rep | Dealing in futures contracts | 2018-04-27 | 2018-08-23 | Rep | Dealing in securities | 2018-04-27 | 2018-08-23 | Rep | Leveraged foreign exchange trading | 2018-05-23 | 2022-02-07 | RO | Dealing in futures contracts | 2018-08-23 | 2022-02-07 | RO | Dealing in securities | 2018-08-23 | 2022-02-07 | Rep | Advising on securities | 2021-12-13 | 2022-02-07 |
| 5 | SG Asset Finance (Hong Kong) Limited | Rep | Dealing in futures contracts | 2015-06-10 | 2016-04-29 | Rep | Dealing in securities | 2015-06-10 | 2016-04-29 |
| 6 | SG SECURITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2016-02-01 | 2017-12-04 | Rep | Dealing in securities | 2016-02-01 | 2017-12-04 |
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