Charles Adrian Edward Spungin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Adrian Edward Spungin ( ), a licensed former licensee with CE reference BNH017. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wells Fargo Securities Asia Limited | RO | Type 1 — Dealing in securities | 2018-12-04 | 2019-03-29 |
| Wells Fargo Securities Asia Limited | RO | Type 4 — Advising on securities | 2018-12-04 | 2019-03-29 |
| Wells Fargo Securities Asia Limited | RO | Type 9 — Asset management | 2018-12-04 | 2019-03-29 |
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2018-09-26 | 2018-12-04 |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2018-09-26 | 2018-12-04 |
| Wells Fargo Securities Asia Limited | Rep | Type 9 — Asset management | 2018-09-26 | 2018-12-04 |