Sen Mo Chiu
邱森模
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sen Mo Chiu (邱森模), a licensed former licensee with CE reference AGK818. This person has 9.5 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-09-25 | 2018-10-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-09-25 | 2018-10-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2016-08-10 | 2018-09-25 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 4 - Advising on securities | 2016-08-10 | 2018-09-25 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-06-30 | 2016-08-10 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2003-10-16 | 2008-05-30 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2008-05-30 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2008-05-30 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-10-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-10-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-10-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-10-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-10-13 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-10-13 |