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