Pun, Hau Wai 潘巧惠
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 | SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2006-03-23 | 2006-06-14 |
| 2 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2005-01-17 | 2006-06-14 |
| 3 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2005-02-16 | 2006-06-14 |
| 4 | TSE'S SECURITIES LIMITED | Rep | Dealing in securities | 2004-12-13 | 2005-01-11 |
| 5 | ZURICH ADVISORY (HK) LIMITED | Rep | Advising on securities | 2006-08-21 | 2010-06-09 |
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