To, Ngoc-Diep Diana 蘇玉葉
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 | UBS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2011-01-31 | 2014-07-25 | Rep | Asset management | 2011-01-31 | 2014-07-25 | Rep | Dealing in securities | 2013-02-01 | 2014-07-25 |
| 2 | Wellington Management Hong Kong Limited (b2003-01-02) | Rep | Advising on securities | 2004-03-19 | 2004-09-19 | Rep | Advising on securities | 2004-12-30 | 2007-09-11 | Rep | Advising on securities | 2009-01-05 | 2010-07-29 |
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