SFC Licences of CHEN Hsiang-Ju 陳湘如
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 22 June 2020 | 25 February 2022 |
| Merrill Lynch Far East Limited | RE | 2 | 22 June 2020 | |
| Merrill Lynch Far East Limited | RE | 1 | 22 June 2020 | |
| UBS Securities Asia Limited | RE | 2 | 06 April 2017 | 09 March 2020 |
| UBS Securities Asia Limited | RE | 1 | 06 April 2017 | 09 March 2020 |
| UBS Securities Asia Limited | RE | 2 | 20 October 2016 | 28 October 2016 |
| Marex Hong Kong Limited | RE | 2 | 07 December 2012 | 29 April 2013 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 | RE | 1 | 29 April 2008 | 08 July 2009 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 | RE | 2 | 29 April 2008 | 08 July 2009 |