Caroline Wing Sum Woo
胡陳詠心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Caroline Wing Sum Woo (胡陳詠心), CE reference ANT715. Currently licensed at 1 firm(s): Lucky Guosheng Securities Limited. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-11-12 | present |
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
Rep | Type 4 — Advising on securities | 2021-11-12 | present |
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
Rep | Type 9 — Asset management | 2021-11-12 | present |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2018-11-30 | 2019-07-04 |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2018-10-29 | 2019-07-04 |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2018-10-29 | 2019-07-04 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-11-10 | 2018-08-14 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-21 | 2018-08-14 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-06-21 | 2018-08-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2006-08-09 | 2007-04-26 |