Simon Dae-Oun Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Dae-Oun Kim ( ), a licensed former licensee with CE reference AUV167. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-18 | 2014-09-28 |
| Everbright Securities Global (HK) Limited 光大證券環球（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2012-02-22 | 2014-05-28 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2012-02-22 | 2014-05-28 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-05-04 | 2011-08-25 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-05-04 | 2011-08-25 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2010-05-04 | 2011-08-25 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-03-02 | 2010-05-02 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-03-02 | 2010-05-02 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2010-03-02 | 2010-05-02 |