Wai Sang So
蘇偉生
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Sang So (蘇偉生), a licensed former licensee with CE reference AAC858. This person has 9.1 years of SFC licence history. Total licence records on file: 15.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 - Advising on securities | 2011-10-18 | 2013-11-09 |
| Merrill Lynch Far East Limited | RO | Type 2 - Dealing in futures contracts | 2010-08-20 | 2013-11-09 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 - Dealing in securities | 2010-03-03 | 2013-11-09 |
| Merrill Lynch Futures (Hong Kong) Limited | RO | Type 2 - Dealing in futures contracts | 2010-03-03 | 2010-12-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2009-12-30 | 2010-03-03 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2009-12-30 | 2010-03-03 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | Type 1 - Dealing in securities | 2003-10-15 | 2008-07-12 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2008-07-12 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | Type 2 - Dealing in futures contracts | Pre-2003 | 2008-07-12 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2003-10-08 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | Type 5 - Advising on futures contracts | Pre-2003 | 2003-10-08 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2003-10-08 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 7 - Providing automated trading services | Pre-2003 | 2003-10-08 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2003-10-08 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RO | Type 9 - Asset management | Pre-2003 | 2003-10-08 |