SFC Licences of CHEN Hsiao Ju 陳筱汝
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 2 | 28 November 2019 | 01 July 2022 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 9 | 28 November 2019 | 01 July 2022 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 28 November 2019 | 01 July 2022 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 14 March 2016 | 11 May 2016 |
| Yuanta Futures (HK) Co., Limited 元大期貨(香港)有限公司 | RE | 2 | 11 July 2013 | 01 August 2014 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 | RE | 2 | 26 September 2011 | 28 June 2013 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 | RE | 1 | 26 September 2011 | 28 June 2013 |
| Waterland Securities (HK) Company Limited 國票證券(香港)股份有限公司 | RE | 1 | 27 January 2011 | 22 May 2011 |