Tien Soon Phua
潘添順
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tien Soon Phua (潘添順), a licensed former licensee with CE reference AOM780. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-02-03 | 2011-04-08 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2010-02-03 | 2011-04-08 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-02-03 | 2011-04-08 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
Rep | Type 4 - Advising on securities | 2009-06-10 | 2010-01-15 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
Rep | Type 1 - Dealing in securities | 2009-06-08 | 2010-01-15 |
| Rothschild & Co Hong Kong Limited 羅斯柴爾德恩可香港有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-06-08 | 2010-01-15 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-01-29 | 2009-05-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-01-29 | 2009-05-06 |