Ruby Pui Kay Siu
蕭珮琪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ruby Pui Kay Siu (蕭珮琪), a licensed former licensee with CE reference AGW561. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2021-12-22 | 2023-12-15 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-12-09 | 2023-12-15 |
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-09-15 | 2021-07-22 |
| AS Capital Limited |
RO | Type 1 — Dealing in securities | 2019-06-10 | 2019-09-30 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-06-25 | 2018-10-28 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2014-10-24 | 2018-10-28 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-30 | 2014-10-24 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2013-09-30 | 2014-05-24 |
| SJS Markets Limited |
Rep | Type 1 — Dealing in securities | 2006-09-25 | 2007-04-10 |
| SJS Markets Limited |
Rep | Type 4 — Advising on securities | 2006-09-25 | 2007-04-10 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-10-15 | 2005-12-16 |
| FIL Investment Advisors | Rep | Type 9 — Asset management | 2004-06-07 | 2005-12-16 |
| FIL Investment Management (Hong Kong) Limited 富達基金(香港)有限公司 |
Rep | Type 9 — Asset management | 2004-06-07 | 2005-12-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-05-15 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-05-15 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-05-15 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-05-15 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-05-15 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-05-15 |