SFC Licences of KUO Shu-Chuan 郭淑娟
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 | RE | 4 | 03 July 2006 | 03 September 2012 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 | RE | 5 | 23 June 2006 | 03 September 2012 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 | RE | 2 | 23 June 2006 | 03 September 2012 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 | RE | 1 | 23 June 2006 | 03 September 2012 |
| FT Securities Limited 富通證券有限公司 | RE | 5 | 30 September 2005 | 24 May 2006 |
| FT Securities Limited 富通證券有限公司 | RE | 2 | 30 September 2005 | 24 May 2006 |
| FT Securities Limited 富通證券有限公司 | RE | 1 | 01 April 2003 | 24 May 2006 |
| Jefferies Bache (Hong Kong) Limited | RE | 2 | 01 April 2003 | 04 October 2005 |
| FT Securities Limited 富通證券有限公司 | RE | 6 | 01 April 2003 | 18 May 2004 |
| Jefferies Bache (Hong Kong) Limited | RE | 5 | 01 April 2003 | 18 May 2004 |
| Jefferies Bache (Hong Kong) Limited | RE | 9 | 01 April 2003 | 18 May 2004 |
| FT Securities Limited 富通證券有限公司 | RE | 9 | 01 April 2003 | 18 May 2004 |
| FT Securities Limited 富通證券有限公司 | RE | 4 | 01 April 2003 | 18 May 2004 |