Caroline Chu Tsang Kwan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Caroline Chu Tsang Kwan, a licensed former licensee with CE reference AQS309. This person has 6.0 years of SFC licence history. Total licence records on file: 6.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Louis Capital Markets (Hong Kong) Limited 滙通金融有限公司 |
Rep | Type 1 - Dealing in securities | 2009-08-10 | 2014-10-31 |
| Louis Capital Markets (Hong Kong) Limited 滙通金融有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-08-10 | 2014-10-31 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 1 - Dealing in securities | 2008-08-18 | 2009-03-03 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-08-18 | 2009-03-03 |
| Louis Capital Markets (Hong Kong) Limited 滙通金融有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-06-11 | 2008-06-20 |
| Louis Capital Markets (Hong Kong) Limited 滙通金融有限公司 |
Rep | Type 1 - Dealing in securities | 2008-04-11 | 2008-06-20 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Caroline Chu Tsang Kwan during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.