Roestam Effendi Bin Bachtiar
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Roestam Effendi Bin Bachtiar, a licensed Responsible Officer with CE reference AEK135. Currently licensed at 2 firm(s): HSBC Securities Brokers (Asia) Limited, HSBC Broking Futures (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2023-03-16 | present |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-04-26 | present |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-04-01 | 2016-04-26 |
| HSBC Futures (Singapore) Pte Ltd | Rep | Type 2 — Dealing in futures contracts | 2010-01-21 | 2012-03-23 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-10-15 | 2009-05-25 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-15 | 2009-05-25 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-10-15 | 2009-05-25 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2007-02-16 | 2009-05-25 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-02-16 | 2009-05-25 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 7 — Providing automated trading services | 2007-02-16 | 2009-05-25 |