Duff Karman Hsu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Duff Karman Hsu (徐嘉文), a licensed Responsible Officer with CE reference ACJ278. Currently licensed at 1 firm(s): UOB Kay Hian (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 21.3 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2012-05-18 | present |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
RO | Type 4 - Advising on securities | 2012-05-18 | present |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2012-05-18 | present |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-02-28 | 2012-05-18 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2012-02-28 | 2012-05-18 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-02-28 | 2012-05-18 |
| Octal Capital Limited 八方金融有限公司 |
RO | Type 1 - Dealing in securities | 2011-11-24 | 2012-01-03 |
| Octal Capital Limited 八方金融有限公司 |
RO | Type 6 - Advising on corporate finance | 2011-06-01 | 2012-01-03 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2005-08-01 | 2009-06-30 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2009-06-30 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2009-06-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Duff Karman Hsu during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.