Ngoc-Diep Diana To
蘇玉葉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ngoc-Diep Diana To (蘇玉葉), a licensed former licensee with CE reference AJK799. This person has 8.3 years of SFC licence history. Total licence records on file: 6.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2013-02-01 | 2014-07-25 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2011-01-31 | 2014-07-25 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2011-01-31 | 2014-07-25 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 4 - Advising on securities | 2009-01-05 | 2010-07-29 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 4 - Advising on securities | 2004-12-30 | 2007-09-11 |
| Wellington Management Hong Kong Limited 威靈頓管理香港有限公司 |
Rep | Type 4 - Advising on securities | 2004-03-19 | 2004-09-19 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ngoc-Diep Diana To during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.