Yip, So Ling 葉素玲
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 | DBS VICKERS SECURITIES ONLINE (HK) LIMITED | Rep | Advising on corporate finance | 2004-03-19 | Rep | Advising on securities | 2004-03-19 | Rep | Asset management | 2004-03-19 | Rep | Dealing in securities | 2004-03-19 |
| 2 | DBS VICKERS SECURITIES ONLINE TRADING (HK) LIMITED | Rep | Advising on corporate finance | 2004-02-13 | Rep | Advising on securities | 2004-02-13 | Rep | Asset management | 2004-02-13 | Rep | Dealing in securities | 2004-02-13 |
| 3 | FT Securities Limited | Rep | Dealing in securities | 2004-03-25 | 2010-10-31 | Rep | Advising on futures contracts | 2005-09-30 | 2010-10-31 | Rep | Dealing in futures contracts | 2005-09-30 | 2010-10-31 |
| 4 | JEFFERIES BACHE (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2004-07-23 | 2005-10-04 |
| 5 | RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | Advising on futures contracts | 2010-11-01 | 2013-02-25 | Rep | Advising on securities | 2010-11-01 | 2013-02-25 | Rep | Dealing in futures contracts | 2010-11-01 | 2013-02-25 | Rep | Dealing in securities | 2010-11-01 | 2013-02-25 |
| 6 | TD WATERHOUSE INVESTOR SERVICES (HONG KONG) INC. | Rep | Advising on corporate finance | 2003-11-07 | Rep | Advising on securities | 2003-11-07 | Rep | Asset management | 2003-11-07 | Rep | Dealing in securities | 2003-11-07 |
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