David Dal Broi
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Dal Broi ( ), a licensed former licensee with CE reference AXY476. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Leonteq Securities (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2022-04-14 | 2023-11-15 |
| Leonteq Securities (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2022-04-14 | 2023-11-15 |
| Saxo Capital Markets HK Limited 盛寶金融(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-12-13 | 2022-02-07 |
| Saxo Capital Markets HK Limited 盛寶金融(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-08-23 | 2022-02-07 |
| Saxo Capital Markets HK Limited 盛寶金融(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-08-23 | 2022-02-07 |
| Saxo Capital Markets HK Limited 盛寶金融(香港)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2018-05-23 | 2022-02-07 |
| Saxo Capital Markets HK Limited 盛寶金融(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-04-27 | 2018-08-23 |
| Saxo Capital Markets HK Limited 盛寶金融(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-04-27 | 2018-08-23 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-02-01 | 2017-12-04 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-02-01 | 2017-12-04 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2015-06-10 | 2016-04-29 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-06-10 | 2016-07-29 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2015-06-10 | 2016-04-29 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2011-09-05 | 2015-04-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2011-09-05 | 2015-04-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-09-05 | 2015-04-13 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2011-09-05 | 2015-04-13 |