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HETHERINGTON John Charles

夏嶺東
CE ABN564Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

HETHERINGTON John Charles (CE number ABN564) is an individual licensed by the Hong Kong SFC. First licensed on 2008-07-22. Their SFC licence is currently active. Accredited for regulated activity Type 4 (Advising on securities). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (1)

RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerDaiwa Capital Markets Hong Kong Limited
大和資本市場香港有限公司

Licence Record (4)

2017-09-13 – present Current
Daiwa Capital Markets Hong Kong Limited RO
RA 4
2010-12-09 – 2017-09-13
Daiwa Capital Markets Hong Kong Limited Rep
RA 4
2010-12-09 – 2012-01-30
Daiwa Institute of Research (Hong Kong) Limited Rep
RA 4
2008-07-22 – 2010-09-10
BNP Paribas Securities (Asia) Limited Rep
RA 4

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ABN564