SFC Licences of BERNSTEIN Steven A
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Lone Star Asia-Pacific Acquisitions (Hong Kong) Limited | RO | 9 | 15 June 2020 | 28 December 2022 |
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 | RE | 9 | 13 December 2012 | 31 October 2013 |
Sequence Asset Management Limited | RO | 9 | 29 February 2012 | 16 July 2012 |
Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 | RO | 1 | 12 February 2010 | 30 November 2011 |
Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 | RO | 6 | 12 February 2010 | 30 November 2011 |