Woo, Caroline Wing Sum 胡陳詠心
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 | BOCI SECURITIES LIMITED | Rep | Advising on securities | 2017-06-21 | 2018-08-14 | BOCHK Asset Management Limited | Rep | 2018-10-29 | 2019-07-04 | Zhanlin Securities Limited | Rep | 2021-11-12 |
| 2 | BOCHK Asset Management Limited | Rep | Asset management | 2018-11-30 | 2019-07-04 | Zhanlin Securities Limited | Rep | 2021-11-12 |
| 3 | BOCI SECURITIES LIMITED | Rep | Dealing in futures contracts | 2017-11-10 | 2018-08-14 |
| 4 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2006-08-09 | 2007-04-26 | BOCI SECURITIES LIMITED | Rep | 2017-06-21 | 2018-08-14 | BOCHK Asset Management Limited | Rep | 2018-10-29 | 2019-07-04 | Zhanlin Securities Limited | Rep | 2021-11-12 |
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