Peter C Kuo
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Peter C Kuo ( ), a licensed former licensee with CE reference ARJ941. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lazard Asia (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2011-08-03 | 2017-03-31 |
| Lazard Asia (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2011-08-03 | 2017-03-31 |
| Lazard Asia (Hong Kong) Limited | RO | Type 6 — Advising on corporate finance | 2011-08-03 | 2017-03-31 |
| Lazard Asia (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2011-07-11 | 2011-08-03 |
| Lazard Asia (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2011-07-11 | 2011-08-03 |
| Xeram and Company (Asia) Limited |
RO | Type 4 — Advising on securities | 2010-07-08 | 2011-05-24 |
| Xeram and Company (Asia) Limited |
RO | Type 6 — Advising on corporate finance | 2010-07-08 | 2011-05-24 |
| Xeram and Company (Asia) Limited |
Rep | Type 4 — Advising on securities | 2010-05-18 | 2010-07-08 |
| Xeram and Company (Asia) Limited |
Rep | Type 6 — Advising on corporate finance | 2010-05-18 | 2010-07-08 |
| Susquehanna Financial Group Asia Limited |
RO | Type 1 — Dealing in securities | 2009-04-22 | 2009-12-31 |
| Susquehanna Financial Group Asia Limited |
RO | Type 6 — Advising on corporate finance | 2009-04-22 | 2009-12-31 |
| Susquehanna Financial Group, LLLP |
Rep | Type 1 — Dealing in securities | 2008-09-12 | 2009-03-11 |
| Susquehanna Financial Group, LLLP |
Rep | Type 6 — Advising on corporate finance | 2008-09-12 | 2009-03-11 |