Chia-Le Carol Tu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chia-Le Carol Tu ( ), a licensed former licensee with CE reference AOT598. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-06-20 | 2009-03-06 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2007-06-20 | 2009-03-06 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 9 - Asset management | 2007-06-20 | 2009-03-06 |