Chen, Hui Ming (SFC:ALW538) 陳慧明
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 | Daiwa Capital Markets Hong Kong Limited | Rep | Advising on securities | 2010-09-21 | 2014-06-25 |
| 2 | DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED | Rep | Advising on securities | 2010-09-21 | 2012-01-30 |
| 3 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on securities | 2005-04-13 | 2005-04-19 |
| 4 | Substance Capital (HK) Limited | RO | Advising on securities | 2017-08-08 | 2018-04-12 | RO | Asset management | 2017-08-08 | 2018-04-12 | Rep | Dealing in securities | 2018-01-09 | 2018-04-12 |
| 5 | UBS SECURITIES ASIA LIMITED | Rep | Advising on securities | 2014-09-29 | 2015-11-07 |
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