Rio So Sum Pang
彭素心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rio So Sum Pang (彭素心), CE reference ARL756. Currently licensed at 1 firm(s): BOCHK Asset Management Limited. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2021-10-20 | present |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-10-20 | present |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-10-20 | present |
| HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Type 4 — Advising on securities | 2012-10-16 | 2020-01-20 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Type 9 — Asset management | 2012-10-16 | 2020-08-04 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-08-07 | 2020-11-05 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-08-07 | 2020-11-05 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2008-08-07 | 2020-11-05 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2008-08-07 | 2020-11-05 |