Alan To Ho
何鍍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alan To Ho (何鍍), CE reference AAE138. Currently licensed at 2 firm(s): Guotai Junan Securities (Hong Kong) Limited, Guotai Junan Futures (Hong Kong) Limited. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-12-11 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2018-12-11 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-10-19 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-10-19 | present |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-11-22 | 2018-10-03 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-15 | 2018-10-03 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2009-12-01 | 2011-05-03 |
| BTIG Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2009-08-03 | 2009-10-30 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-06-08 | 2009-06-04 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-10-03 | 2007-04-11 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-11-30 | 2005-09-28 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-08-10 | 2004-11-29 |
| Asian Pacific Investment Company 大亞投資公司 |
Rep | Type 1 — Dealing in securities | 2004-07-14 | 2004-08-06 |
| Asian Pacific Investment Company 大亞投資公司 |
Rep | Type 4 — Advising on securities | 2004-07-14 | 2004-08-06 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | present | 2004-03-12 |
| UBS Securities Hong Kong Limited | Rep | Type 4 — Advising on securities | present | 2004-03-12 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-03-12 |
| UBS Securities Hong Kong Limited | Rep | Type 9 — Asset management | present | 2004-03-12 |