Chao (SFC:AUM373) Du
杜超
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chao (SFC:AUM373) Du (杜超), a licensed former licensee with CE reference AUM373. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-09-06 | 2020-02-14 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2015-10-12 | 2015-11-12 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2015-10-12 | 2015-11-12 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-10-12 | 2015-11-12 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-03-05 | 2015-09-09 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-01-12 | 2011-07-07 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-01-12 | 2011-07-07 |