To, Chi Chung 杜子聰
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 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2014-05-26 | 2015-11-27 |
| 2 | CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2014-05-26 | 2015-11-27 |
| 3 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2014-05-26 | 2015-11-27 |
| 4 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Automated trading services | 2003-09-02 | Rep | Advising on corporate finance | 2004-09-10 | Rep | Advising on securities | 2004-09-10 | Rep | Asset management | 2004-09-10 | Rep | Dealing in securities | 2011-04-01 |
| 5 | HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-09-10 | Rep | Advising on securities | 2004-09-10 | Rep | Asset management | 2004-09-10 | Rep | Dealing in securities | 2011-04-01 |
| 6 | Quam Securities Limited | Rep | Dealing in futures contracts | 2015-12-23 | 2021-10-18 | Rep | Dealing in securities | 2015-12-23 | 2021-10-18 |
| 7 | RHB FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2013-01-29 | 2014-05-15 |
| 8 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2012-03-08 | 2014-05-15 |
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