Chan, Shu Ming 陳樹明
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 | HSBC BROKING (CHINA) LIMITED | Rep | Advising on corporate finance | 2004-08-04 | Rep | Advising on securities | 2004-08-04 | Rep | Asset management | 2004-08-04 | Rep | Dealing in securities | 2012-08-14 |
| 2 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Advising on futures contracts | 2004-08-04 | Rep | Asset management | 2004-08-04 | Rep | Dealing in futures contracts | 2015-05-16 |
| 3 | HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2004-08-04 | Rep | Asset management | 2004-08-04 | Rep | Dealing in futures contracts | 2015-05-16 |
| 4 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Automated trading services | 2003-09-02 | Rep | Advising on corporate finance | 2004-08-04 | Rep | Advising on securities | 2004-08-04 | Rep | Asset management | 2004-08-04 | Rep | Dealing in securities | 2015-05-16 |
| 5 | HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-08-04 | Rep | Advising on securities | 2004-08-04 | Rep | Asset management | 2004-08-04 | Rep | Dealing in securities | 2015-05-16 |
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