Shirley Wai Ching Siu
蕭慧晶
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shirley Wai Ching Siu (蕭慧晶), a licensed former licensee with CE reference ABP528. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 9 — Asset management | 2019-04-10 | 2019-08-23 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 1 — Dealing in securities | 2019-03-07 | 2019-08-23 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 4 — Advising on securities | 2019-03-07 | 2019-08-23 |
| Avenue Family Office Limited 道信家族辦公室有限公司 |
Rep | Type 1 — Dealing in securities | 2018-02-12 | 2018-08-10 |
| Avenue Family Office Limited 道信家族辦公室有限公司 |
Rep | Type 4 — Advising on securities | 2018-02-12 | 2018-08-10 |
| D&R International Capital Management (Hong Kong) Limited 達仁國際資本管理（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2016-05-18 | 2017-06-22 |
| D&R International Capital Management (Hong Kong) Limited 達仁國際資本管理（香港）有限公司 |
Rep | Type 4 — Advising on securities | 2016-05-18 | 2017-06-22 |
| Target Capital Management Limited 泰達資產管理有限公司 |
Rep | Type 9 — Asset management | 2013-07-29 | 2013-08-07 |
| Target Capital Management Limited 泰達資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2012-11-19 | 2013-08-07 |
| Target Capital Management Limited 泰達資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2012-08-13 | 2013-08-07 |
| AIA Wealth Management Company Limited 友邦財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2007-09-17 | 2008-06-27 |
| AIA Wealth Management Company Limited 友邦財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2007-09-17 | 2009-07-16 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2004-09-09 | 2005-05-06 |
| Lloyds TSB Pacific Limited 萊斯遠東有限公司 |
Rep | Type 1 — Dealing in securities | 2004-01-20 | 2004-04-14 |
| Lloyds TSB Pacific Limited 萊斯遠東有限公司 |
Rep | Type 4 — Advising on securities | 2004-01-20 | 2004-04-14 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-11-07 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-11-07 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-11-07 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-11-07 |