Su-Li Chan
陳淑麗
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Su-Li Chan (陳淑麗), a licensed former licensee with CE reference BEV766. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-09-09 | 2022-07-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2021-07-30 | 2023-04-26 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-07-30 | 2023-04-26 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2016-12-19 | 2021-04-22 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2016-12-19 | 2021-04-22 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2015-01-20 | 2021-04-22 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2015-01-20 | 2016-12-18 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2015-01-20 | 2021-04-22 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2015-01-20 | 2016-12-18 |