Chung Tsz Kwan
關頌慈
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chung Tsz Kwan (關頌慈), a licensed former licensee with CE reference AXS410. Total licence records on file: 18.
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 | 2021-01-04 | 2023-03-20 |
| Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-01-04 | 2023-03-20 |
| ICBC Asset Management (Global) Company Limited 工銀資管(全球)有限公司 |
Rep | Type 4 — Advising on securities | 2015-11-09 | 2020-07-06 |
| ICBC Asset Management (Global) Company Limited 工銀資管(全球)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2015-11-09 | 2020-07-06 |
| ICBC Asset Management (Global) Company Limited 工銀資管(全球)有限公司 |
Rep | Type 9 — Asset management | 2015-11-09 | 2020-07-06 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-05-15 | 2015-08-31 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-05-15 | 2015-08-31 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-15 | 2015-04-24 |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-04-15 | 2015-04-24 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-08-25 | 2015-04-07 |
| Open Securities Limited 開盤證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-08-25 | 2015-04-07 |
| Interactive Brokers LLC 盈透有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2014-01-27 | 2014-08-09 |
| Interactive Brokers LLC 盈透有限公司 |
Rep | Type 1 — Dealing in securities | 2013-10-24 | 2014-08-09 |
| Interactive Brokers LLC 盈透有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-10-24 | 2014-08-09 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-06-18 | 2013-10-15 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-03-15 | 2013-10-15 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-29 | 2013-10-15 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-07-29 | 2013-10-15 |