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. Total licence records on file: 6.
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 |