Upton Pui Cheong Chik
戚培昌
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Upton Pui Cheong Chik (戚培昌), a licensed former licensee with CE reference AEF322. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| TD Ameritrade Hong Kong Limited 德美利證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2017-11-14 | 2018-09-21 |
| TD Ameritrade Hong Kong Limited 德美利證券香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-11-14 | 2018-09-21 |
| Bluestone Securities (HK) Co., Limited 青石證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-08-17 | 2016-08-18 |
| QMIS Securities Limited 華亞證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-07-27 | 2016-08-07 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-09-24 | 2016-06-08 |
| Chief Commodities Limited 致富期貨商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-09-24 | 2016-06-08 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-02-26 | 2008-08-16 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-02-26 | 2008-08-16 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-02-26 | 2008-08-16 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-01-20 | 2008-02-18 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-01-20 | 2008-02-18 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-12 | 2005-06-20 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-05-03 | 2004-07-27 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-05-03 | 2004-07-27 |
| Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-03-25 | 2004-04-14 |