SFC Licences of HO Shuk Yee, Samantha 何淑懿

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Altus Investments Limited RO 1 11 July 2014
Altus Capital Limited 浩德融資有限公司 RO 9 11 July 2014
Altus Capital Limited 浩德融資有限公司 RO 4 11 July 2014
Altus Investments Limited RE 1 12 May 2014 11 July 2014
Altus Capital Limited 浩德融資有限公司 RE 9 12 May 2014 11 July 2014
Altus Capital Limited 浩德融資有限公司 RE 4 12 May 2014 11 July 2014
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RO 9 23 May 2013 29 November 2013
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 9 23 May 2013 29 November 2013
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 4 23 May 2013 29 November 2013
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 1 23 May 2013 29 November 2013
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 9 29 April 2013 23 May 2013
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 9 29 April 2013 23 May 2013
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 4 29 April 2013 23 May 2013
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 1 29 April 2013 23 May 2013
Altus Investments Limited RO 1 28 March 2013 29 April 2013
Altus Capital Limited 浩德融資有限公司 RO 9 28 March 2013 29 April 2013
Altus Capital Limited 浩德融資有限公司 RO 4 28 March 2013 29 April 2013
Altus Investments Limited RE 1 01 February 2013 28 March 2013
Altus Capital Limited 浩德融資有限公司 RE 9 01 February 2013 28 March 2013
Altus Capital Limited 浩德融資有限公司 RE 4 01 February 2013 28 March 2013
Invesco Hong Kong Limited (trading as Invesco Asia Pacific) 景順投資管理有限公司(以景順投資管理名義經營業務) RE 4 01 February 2006 01 September 2012
Invesco Hong Kong Limited (trading as Invesco Asia Pacific) 景順投資管理有限公司(以景順投資管理名義經營業務) RO 9 13 October 2005 01 September 2012
Invesco Hong Kong Limited (trading as Invesco Asia Pacific) 景順投資管理有限公司(以景順投資管理名義經營業務) RO 5 13 October 2005 01 September 2012
Invesco Hong Kong Limited (trading as Invesco Asia Pacific) 景順投資管理有限公司(以景順投資管理名義經營業務) RO 1 13 October 2005 01 September 2012
Invesco Asset Management Asia Limited 景順投資管理亞洲有限公司 RO 1 13 October 2005 01 September 2012
Invesco Hong Kong Limited (trading as Invesco Asia Pacific) 景順投資管理有限公司(以景順投資管理名義經營業務) RE 1 14 March 2005 13 October 2005
Invesco Asset Management Asia Limited 景順投資管理亞洲有限公司 RE 1 14 March 2005 13 October 2005
Invesco Hong Kong Limited (trading as Invesco Asia Pacific) 景順投資管理有限公司(以景順投資管理名義經營業務) RE 9 04 November 2004 13 October 2005
Invesco Hong Kong Limited (trading as Invesco Asia Pacific) 景順投資管理有限公司(以景順投資管理名義經營業務) RE 5 04 November 2004 13 October 2005
Invesco Hong Kong Limited (trading as Invesco Asia Pacific) 景順投資管理有限公司(以景順投資管理名義經營業務) RE 4 04 November 2004 07 June 2005
Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 RE 9 01 April 2003 01 November 2004
Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 RE 4 01 April 2003 01 November 2004
Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 RE 5 01 April 2003 01 November 2004
Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 RE 1 01 April 2003 14 June 2004
Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 RE 6 01 April 2003 14 June 2004