Austin Joon Um
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Austin Joon Um, a licensed former licensee with CE reference AFG040. This person has 0.1 years of SFC licence history. Total licence records on file: 4.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-05-02 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-05-02 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-05-02 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-05-02 |