Stephen Henry Alley
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Henry Alley, a licensed Responsible Officer with CE reference ARD627. Currently licensed at 1 firm(s): Interactive Brokers Hong Kong Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Interactive Brokers Hong Kong Limited 盈透證券香港有限公司 |
RO | Type 1 — Dealing in securities | 2020-03-10 | present |
| Interactive Brokers Hong Kong Limited 盈透證券香港有限公司 |
RO | Type 2 — Dealing in futures contracts | 2020-03-10 | present |
| Interactive Brokers Hong Kong Limited 盈透證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2009-05-22 | 2020-03-10 |
| Interactive Brokers Hong Kong Limited 盈透證券香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-05-22 | 2020-03-10 |