Siu, Ruby Pui Kay 蕭珮琪
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 | AS CAPITAL LIMITED | RO | Dealing in securities | 2019-06-10 | 2019-09-30 |
| 2 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2021-12-09 | 2023-12-15 | Rep | Advising on securities | 2021-12-22 | 2023-12-15 |
| 3 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in securities | 2013-09-30 | 2014-05-24 |
| 4 | FIL Investment Advisors | Rep | Asset management | 2004-06-07 | 2005-12-16 |
| 5 | FIL Investment Management (Hong Kong) Limited | Rep | Asset management | 2004-06-07 | 2005-12-16 | Rep | Dealing in securities | 2004-10-15 | 2005-12-16 |
| 6 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-05-15 | Rep | Advising on futures contracts | 2004-05-15 | Rep | Advising on securities | 2004-05-15 | Rep | Asset management | 2004-05-15 | Rep | Dealing in futures contracts | 2004-05-15 | Rep | Dealing in securities | 2004-05-15 |
| 7 | SJS Markets Limited | Rep | Advising on securities | 2006-09-25 | 2007-04-10 | Rep | Dealing in securities | 2006-09-25 | 2007-04-10 |
| 8 | SMBC Nikko Securities (Hong Kong) Limited | Rep | Dealing in securities | 2014-06-30 | 2014-10-24 | RO | Dealing in securities | 2014-10-24 | 2018-10-28 | Rep | Advising on securities | 2018-06-25 | 2018-10-28 |
| 9 | Zhanlin Securities Limited | Rep | Dealing in securities | 2020-09-15 | 2021-07-22 |
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