Karen Chia Lin Hsu
徐嘉琳
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karen Chia Lin Hsu (徐嘉琳), a licensed former licensee with CE reference ACO622. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sigma Capital Management Limited 眾和證券有限公司 |
RO | Type 4 — Advising on securities | 2018-10-15 | 2021-10-23 |
| Sigma Capital Management Limited 眾和證券有限公司 |
RO | Type 1 — Dealing in securities | 2012-06-27 | 2021-10-23 |
| Sigma Capital Management Limited 眾和證券有限公司 |
RO | Type 9 — Asset management | 2011-03-11 | 2021-10-23 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | present | 2004-02-23 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | present | 2004-02-23 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | present | 2004-02-23 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2004-02-23 |
| UBS Securities Hong Kong Limited | Rep | Type 4 — Advising on securities | present | 2004-02-23 |
| UBS Securities Asia Limited | Rep | Type 5 — Advising on futures contracts | present | 2004-02-23 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-02-23 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-02-23 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2004-02-23 |
| UBS Securities Hong Kong Limited | Rep | Type 9 — Asset management | present | 2004-02-23 |