Carissa Carol Szeto
司徒加樂
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carissa Carol Szeto (司徒加樂), a licensed former licensee with CE reference AIU527. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2013-07-03 | 2018-10-02 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2003-05-14 | 2007-11-07 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2003-05-14 | 2007-11-07 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2003-05-14 | 2004-01-08 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 9 - Asset management | 2003-05-14 | 2004-01-08 |