SFC Licences of PUN Hau Wai 潘巧惠
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Zurich Advisory (HK) Limited 蘇黎世金融服務顧問有限公司 | RE | 4 | 21 August 2006 | 09 June 2010 |
Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 | RE | 4 | 23 March 2006 | 14 June 2006 |
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 | RE | 2 | 16 February 2005 | 14 June 2006 |
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 | RE | 1 | 17 January 2005 | 14 June 2006 |
Tse's Securities Limited 謝氏膺暉證券有限公司 | RE | 1 | 13 December 2004 | 11 January 2005 |