Shiu, Yau Wah 蕭猷華
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 | PRUDENTIAL BROKERAGE LIMITED | Rep | Advising on securities | 2020-10-21 | Rep | Dealing in securities | 2020-10-21 |
| 2 | PRUDENTIAL INDEX TRADING COMPANY LIMITED | Rep | Dealing in futures contracts | 2020-10-21 | |
| 3 | RHB FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2009-02-13 | 2020-01-29 |
| 4 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2009-02-13 | 2020-01-29 | Rep | Advising on securities | 2012-05-21 | 2020-01-29 |
| 5 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2007-12-06 | 2009-02-01 |
| 6 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Advising on futures contracts | 2004-05-14 | Rep | Asset management | 2004-05-14 | Rep | Dealing in futures contracts | 2009-02-01 |
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