Ferdinand So
蘇平恩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ferdinand So (蘇平恩), a licensed former licensee with CE reference AFO880. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2012-01-19 | 2012-08-16 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-09-09 | 2012-08-16 |
| Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-09-09 | 2012-08-16 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2004-03-26 | 2007-07-17 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2004-03-26 | 2007-07-17 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2003-10-28 | 2004-03-02 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2004-03-02 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-10-28 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2003-07-09 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-07-09 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-07-09 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-07-09 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-07-09 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 9 — Asset management | present | 2003-07-09 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-07-09 |