Rowena Wai Hang Tsun
秦緯珩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rowena Wai Hang Tsun (秦緯珩), a licensed former licensee with CE reference AGL967. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-09-20 | 2013-07-05 |
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2012-09-20 | 2013-07-05 |
| Julius Baer (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2009-06-24 | 2011-06-13 |
| Julius Baer (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2009-06-02 | 2011-06-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2007-07-19 | 2009-05-27 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2004-04-23 | 2006-06-02 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2004-04-23 | 2006-06-02 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-03-02 | 2006-06-02 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 - Dealing in securities | 2003-12-09 | 2004-03-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | present | 2003-11-29 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | present | 2003-11-29 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | present | 2003-11-29 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | present | 2003-11-29 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2003-11-29 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 - Asset management | present | 2003-11-29 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 - Asset management | present | 2003-11-29 |