SFC Licences of CHANG Walter 陳華德
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| ROCIM Limited | RO | 4 | 13 July 2020 | |
| ROCIM Limited | RO | 9 | 13 August 2007 | |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 | RE | 1 | 14 April 2005 | 27 July 2007 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 1 | 02 June 2004 | 27 July 2007 |
| UBS Securities Asia Limited | RE | 6 | 01 April 2003 | 21 April 2004 |
| UBS Securities Asia Limited | RE | 9 | 01 April 2003 | 21 April 2004 |
| UBS Securities Asia Limited | RE | 4 | 01 April 2003 | 21 April 2004 |
| UBS Securities Asia Limited | RE | 1 | 01 April 2003 | 21 April 2004 |