Wong, Carrie Sau Chun 王秀珍
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 | BEAR STEARNS ASIA LIMITED | Rep | Advising on corporate finance | 2004-12-09 | Rep | Advising on securities | 2004-12-09 | Rep | Asset management | 2004-12-09 | Rep | Automated trading services | 2004-12-09 | Rep | Dealing in securities | 2008-10-01 | Rep | Advising on futures contracts | 2005-12-01 | 2008-10-01 | Rep | Dealing in futures contracts | 2005-12-01 | 2008-10-01 |
| 2 | BEAR STEARNS HONG KONG LIMITED | Rep | Asset management | 2004-12-09 | Rep | Advising on futures contracts | 2008-10-01 | Rep | Dealing in futures contracts | 2008-10-01 |
| 3 | CCB INTERNATIONAL SECURITIES LIMITED | Rep | Advising on securities | 2010-03-01 | 2010-04-14 | Rep | Dealing in securities | 2010-03-01 | 2010-04-14 |
| 4 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2010-05-18 | 2012-05-19 |
| 5 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2010-05-18 | 2012-05-19 |
| 6 | PING AN OF CHINA FUTURES (HONG KONG) COMPANY LIMITED | Rep | Dealing in futures contracts | 2012-10-22 | 2014-04-16 |
| 7 | PING AN OF CHINA SECURITIES (HONG KONG) COMPANY LIMITED | Rep | Dealing in securities | 2012-10-22 | 2014-04-16 |
| 8 | Soochow Securities International Brokerage Limited | Rep | Dealing in securities | 2014-04-30 | 2020-07-31 |
| 9 | Soochow Securities International Futures Limited | Rep | Dealing in futures contracts | 2014-04-30 | 2020-07-31 |
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