Vivien Wai Wan Ho
何慧韻
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Vivien Wai Wan Ho (何慧韻), a licensed former licensee with CE reference AUI394. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Frontier Capital Management Limited 方達資本管理有限公司 |
Rep | Type 1 — Dealing in securities | 2013-02-04 | 2013-04-01 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
Rep | Type 4 — Advising on securities | 2013-02-04 | 2013-04-01 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
Rep | Type 9 — Asset management | 2013-02-04 | 2013-04-01 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-03-10 | 2010-07-03 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2009-12-14 | 2010-07-03 |