SFC licenceholder AWS022 CHEN Hsiao Ju 陳筱汝

Licences

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Updated: 01 April 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities), [9] (Asset Management) 28 November 2019
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [2] (Dealing in Futures Contracts) 28 November 2019
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE [1] (Dealing in Securities) 14 March 2016 11 May 2016
Yuanta Futures (HK) Co., Limited 元大期貨(香港)有限公司 RE [2] (Dealing in Futures Contracts) 11 July 2013 01 August 2014
CSC Securities (HK) Limited 群益證券(香港)有限公司 RE [1] (Dealing in Securities) 26 September 2011 28 June 2013
CSC Futures (HK) Limited 群益期貨(香港)有限公司 RE [2] (Dealing in Futures Contracts) 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] (Dealing in Securities) 27 January 2011 22 May 2011