Chong, Carmen Yu 莊瑜
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 | CLSA LIMITED | Rep | Dealing in securities | 2009-05-13 | 2024-07-02 |
2 | Instinet Alpha Trading Limited | Rep | Automated trading services | 2005-11-01 | 2006-06-07 | Rep | Dealing in securities | 2005-11-01 | 2006-06-07 | Rep | Advising on securities | 2005-11-03 | 2006-06-07 | RO | Advising on securities | 2006-06-07 | 2007-03-21 | RO | Automated trading services | 2006-06-07 | 2007-03-21 | RO | Dealing in securities | 2006-06-07 | 2007-03-21 |
3 | INSTINET PACIFIC LIMITED | Rep | Automated trading services | 2005-11-01 | 2006-06-07 | Rep | Dealing in securities | 2005-11-01 | 2006-06-07 | Rep | Advising on securities | 2005-11-03 | 2006-06-07 | RO | Advising on securities | 2006-06-07 | 2007-03-21 | RO | Automated trading services | 2006-06-07 | 2007-03-21 | RO | Dealing in securities | 2006-06-07 | 2007-03-21 |
4 | MACQUARIE CAPITAL LIMITED | Rep | Dealing in securities | 2007-03-27 | 2009-02-23 |
5 | SG SECURITIES (HK) LIMITED | Rep | Advising on securities | 2003-12-16 | Rep | Asset management | 2003-12-16 | Rep | Advising on corporate finance | 2004-01-13 | Rep | Automated trading services | 2005-10-31 | Rep | Dealing in securities | 2005-10-31 |
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