SFC Licences of TU Chia-le Carol
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 | RE | 9 | 20 June 2007 | 06 March 2009 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 | RE | 4 | 20 June 2007 | 06 March 2009 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 | RE | 1 | 20 June 2007 | 06 March 2009 |