Gertrude Marion Ozorio
柯家如
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Gertrude Marion Ozorio (柯家如), a licensed former licensee with CE reference APC863. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 - Dealing in securities | 2014-08-28 | 2016-01-15 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-08-28 | 2016-01-15 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-08-29 | 2012-10-19 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-08-29 | 2012-10-19 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-08-29 | 2012-10-19 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 - Dealing in securities | 2007-06-21 | 2008-11-13 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-06-21 | 2008-11-13 |