Sarah Anne Chessis
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sarah Anne Chessis ( ), a licensed former licensee with CE reference AFQ904. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ginseng Capital Advisors Limited |
Rep | Type 9 — Asset management | 2012-07-05 | 2013-04-09 |
| Religare Capital Markets (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2009-11-25 | 2011-12-31 |
| Religare Capital Markets (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2009-11-25 | 2011-12-31 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-01-24 | 2009-05-20 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2008-01-24 | 2009-05-20 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2005-12-20 | 2007-11-03 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-12-20 | 2007-11-03 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2005-12-20 | 2007-11-03 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-10-23 | 2005-12-20 |
| ETRADE Securities (Hong Kong) Limited 億創證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2003-10-23 | 2005-12-20 |
| Jefferies Pacific Limited |
Rep | Type 1 — Dealing in securities | present | 2003-06-27 |
| Jefferies Pacific Limited |
Rep | Type 4 — Advising on securities | present | 2003-06-27 |
| Jefferies Pacific Limited |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-27 |
| Jefferies Pacific Limited |
Rep | Type 9 — Asset management | present | 2003-06-27 |