So Yeon Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for So Yeon Kim, CE reference AMM348. Currently licensed at 1 firm(s): DWS Investments Hong Kong Limited. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
RO | Type 1 — Dealing in securities | 2019-10-23 | present |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
RO | Type 4 — Advising on securities | 2019-10-23 | present |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 1 — Dealing in securities | 2017-03-31 | 2019-10-23 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 4 — Advising on securities | 2017-03-31 | 2019-10-23 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2012-06-14 | 2013-02-01 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-03-01 | 2013-02-01 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-23 | 2010-01-30 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2005-09-23 | 2008-03-20 |