Wang, Barbara Shiuan 王瑄
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Annum Asset Management (Hong Kong) Limited | Rep | Asset management | 2015-07-28 | 2016-07-22 |
| 2 | AP Asset Management (HK) Limited | Rep | Advising on securities | 2006-01-13 | 2006-01-27 | Rep | Asset management | 2006-01-13 | 2006-01-27 | Rep | Dealing in securities | 2006-01-13 | 2006-01-27 |
| 3 | APAC CAPITAL ADVISORS LIMITED | Rep | Asset management | 2007-07-20 | 2007-07-27 | RO | Asset management | 2007-07-27 | 2007-10-31 |
| 4 | I-ACCESS INVESTORS LIMITED | Rep | Dealing in securities | 2015-06-08 | 2016-07-22 | Rep | Dealing in securities | 2016-11-11 | 2017-08-04 | Rep | Dealing in futures contracts | 2017-05-05 | 2017-08-04 |
| 5 | LOMBARD ODIER (HONG KONG) LIMITED | Rep | Asset management | 2010-08-24 | 2011-03-31 | Rep | Dealing in securities | 2010-08-24 | 2011-03-31 |
| 6 | MCM Asia Limited | Rep | Advising on securities | 2016-08-22 | 2016-11-03 | Rep | Dealing in securities | 2016-08-22 | 2016-11-03 |
| 7 | MIZUHO SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2004-05-14 | 2004-07-06 | Rep | Advising on securities | 2004-05-14 | 2004-07-06 | Rep | Dealing in securities | 2004-05-14 | 2004-07-06 |
| 8 | NEWMOUNT INVESTMENT MANAGEMENT (ASIA) LIMITED | RO | Advising on securities | 2005-05-17 | 2005-12-31 | RO | Asset management | 2005-05-17 | 2005-12-31 | RO | Dealing in securities | 2005-05-17 | 2005-12-31 |
| 9 | Otkcab Limited | Rep | Asset management | 2012-06-20 | 2012-07-27 |
| 10 | RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | Advising on securities | 2004-09-10 | 2004-11-20 | Rep | Dealing in securities | 2004-09-10 | 2004-11-20 |
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