Sze, Ray Chun Wai 施俊威
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 | KARL THOMSON INVESTMENT CONSULTANTS LIMITED | Rep | Advising on securities | 2004-08-26 | 2004-11-08 | Rep | Advising on securities | 2005-02-15 | 2007-06-04 | Rep | Asset management | 2006-01-24 | 2007-06-04 |
| 2 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2008-11-03 | 2010-11-06 |
| 3 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2007-09-06 | 2010-11-06 | Rep | Dealing in securities | 2007-10-05 | 2010-11-06 |
| 4 | SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | Asset management | 2010-12-21 | 2011-08-23 |
| 5 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Advising on securities | 2010-11-26 | 2011-08-23 | Rep | Dealing in securities | 2010-11-26 | 2011-08-23 |
| 6 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-11-26 | 2011-08-23 |
| 7 | TIANDA SECURITIES LIMITED | Rep | Dealing in futures contracts | 2011-08-29 | 2013-09-03 | Rep | Dealing in securities | 2011-08-29 | 2013-09-03 |
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