Roger, Stephane Serge Claude
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 | HWABAO WP ASSET MANAGEMENT (HONG KONG) CO., LIMITED | RO | Advising on securities | 2014-04-11 | 2018-08-23 | RO | Asset management | 2014-04-11 | 2018-08-23 | RO | Dealing in securities | 2017-08-04 | 2018-08-23 |
| 2 | SG SECURITIES (HK) LIMITED | Rep | Asset management | 2010-09-13 | 2010-10-07 | Rep | Dealing in securities | 2010-09-13 | 2010-10-07 | RO | Asset management | 2010-10-07 | 2014-04-08 | RO | Dealing in securities | 2010-10-07 | 2014-04-08 | RO | Dealing in futures contracts | 2011-08-25 | 2014-04-08 | RO | Advising on futures contracts | 2012-04-23 | 2014-04-08 | RO | Advising on securities | 2012-04-23 | 2014-04-08 |
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