Ka Yin So
蘇家燕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yin So (蘇家燕), a licensed former licensee with CE reference BBT498. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-07-03 | 2023-09-15 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2014-07-03 | 2023-09-15 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-09-23 | 2014-06-12 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 4 - Advising on securities | 2013-09-23 | 2014-06-12 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 9 - Asset management | 2013-09-23 | 2014-06-12 |