To, Wai Man (SFC:AEM387) 陶偉民
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 | DELTA ASIA SECURITIES LIMITED | Rep | Advising on corporate finance | 2004-05-07 | |
| 2 | DELTA ASIA FINANCIAL FUTURES LIMITED | RO | Advising on futures contracts | 2019-06-05 | |
| 3 | DELTA ASIA SECURITIES LIMITED | Rep | Advising on securities | 2004-05-07 | CASH Wealth Management Limited | Rep | 2005-06-08 | 2005-06-29 | orientiert XYZ Securities Limited | Rep | 2005-07-15 | 2010-03-22 |
| 4 | DELTA ASIA SECURITIES LIMITED | Rep | Asset management | 2004-05-07 | Delta Asia Wealth Management Limited | Rep | 2015-03-06 |
| 5 | DELTA ASIA SECURITIES LIMITED | Rep | Automated trading services | 2003-11-07 | |
| 6 | DELTA ASIA FINANCIAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2015-03-06 | 2019-06-05 | DELTA ASIA FINANCIAL FUTURES LIMITED | RO | 2019-06-05 |
| 7 | DELTA ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2005-04-12 | Success Securities Limited | Rep | 2010-06-25 | 2011-04-01 | Everbright Securities Investment Services (HK) Limited | Rep | 2014-02-10 | 2015-01-03 | DELTA ASIA SECURITIES LIMITED | Rep | 2015-01-19 |
| 8 | CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2014-02-10 | 2015-01-03 | DELTA ASIA SECURITIES LIMITED | Rep | 2015-01-19 | 2019-06-05 | DELTA ASIA SECURITIES LIMITED | RO | 2019-06-05 | 2020-09-21 |
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