Steven A Bernstein
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven A Bernstein ( ), a licensed former licensee with CE reference AUQ299. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lone Star Asia-Pacific Acquisitions (Hong Kong) Limited | RO | Type 9 — Asset management | 2020-06-15 | 2022-12-28 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2012-12-13 | 2013-10-31 |
| Sequence Asset Management Limited |
RO | Type 9 — Asset management | 2012-02-29 | 2012-07-16 |
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2010-02-12 | 2011-11-30 |
| Oppenheimer Investments Asia Limited 凱萬亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-02-12 | 2011-11-30 |