So, Shun Tak 蘇淳德
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 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Advising on securities | 2014-11-04 | 2016-11-30 |
| 2 | China Universal Asset Management (Hong Kong) Company Limited | Rep | Advising on securities | 2016-12-13 | Rep | Asset management | 2016-12-13 |
| 3 | CMB International Capital Holdings Corporation Limited | Rep | Dealing in securities | 2010-07-09 | 2010-11-16 |
| 4 | CMB International Securities Limited | Rep | Dealing in securities | 2010-09-24 | 2011-06-20 |
| 5 | ICBC INTERNATIONAL RESEARCH LIMITED | Rep | Advising on securities | 2009-07-10 | 2010-06-28 |
| 6 | ICBC INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2009-06-15 | 2009-07-14 |
| 7 | ICEA SECURITIES ASIA LIMITED | Rep | Advising on securities | 2007-02-12 | 2009-05-27 |
| 8 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | Advising on securities | 2006-05-15 | 2007-01-29 |
| 9 | MUFG Securities Asia Limited | Rep | Advising on securities | 2011-06-21 | 2012-07-04 |
| 10 | RHB SECURITIES HONG KONG LIMITED | Rep | Advising on securities | 2013-05-13 | 2014-10-26 |
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