Stephane Serge Claude Roger
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephane Serge Claude Roger ( ), a licensed former licensee with CE reference AVM681. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| VERACITY INVESTMENT CO., LIMITED 承壹投資管理有限公司 |
RO | Type 1 — Dealing in securities | 2017-08-04 | 2018-08-23 |
| VERACITY INVESTMENT CO., LIMITED 承壹投資管理有限公司 |
RO | Type 4 — Advising on securities | 2014-04-11 | 2018-08-23 |
| VERACITY INVESTMENT CO., LIMITED 承壹投資管理有限公司 |
RO | Type 9 — Asset management | 2014-04-11 | 2018-08-23 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-04-23 | 2014-04-08 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2012-04-23 | 2014-04-08 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-08-25 | 2014-04-08 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2010-10-07 | 2014-04-08 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 9 — Asset management | 2010-10-07 | 2014-04-08 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-13 | 2010-10-07 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2010-09-13 | 2010-10-07 |