Joseph Marian Laurence Ozorio
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Joseph Marian Laurence Ozorio ( ), a licensed former licensee with CE reference AAD498. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2014-04-17 | 2017-01-09 |
| Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-04-17 | 2017-01-09 |
| Funderstone Securities Limited | Rep | Type 1 — Dealing in securities | 2012-03-20 | 2013-12-31 |
| Funderstone Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2012-03-20 | 2013-12-31 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 — Dealing in securities | present | 2009-07-01 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2009-07-01 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-01-19 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-01-19 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-01-19 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-07-07 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-19 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 9 — Asset management | present | 2004-01-19 |