Tai, Charlotte Wing Sze 戴詠詩
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 | BEAR STEARNS ASIA LIMITED | Rep | Advising on futures contracts | 2008-08-15 | 2009-08-10 | Rep | Advising on securities | 2008-08-15 | 2009-08-10 | Rep | Dealing in futures contracts | 2008-08-15 | 2009-08-10 | Rep | Dealing in securities | 2008-08-15 | 2009-08-10 |
| 2 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-12-02 | Rep | Asset management | 2003-12-02 | Rep | Automated trading services | 2003-12-02 | Rep | Advising on securities | 2009-08-10 | Rep | Dealing in securities | 2009-08-10 | Rep | Advising on futures contracts | 2006-01-04 | 2009-08-10 | Rep | Dealing in futures contracts | 2006-01-04 | 2009-08-10 |
| 3 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on corporate finance | 2003-12-23 | Rep | Asset management | 2003-12-23 | Rep | Advising on securities | 2005-10-14 |
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