Chia-Le Carol Tu

CE No. AOT598 Ceased

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

FirmRoleRegulated activityFromTo
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

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