Chang, Walter 陳華德

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
ROCIM Limited	RO	Advising on securities	2020-07-13	-
	RO	Asset management	2007-08-13	-
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2005-04-14	2007-07-27
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2004-06-02	2007-07-27
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-04-21
	Rep	Advising on securities	2003-04-01	2004-04-21
	Rep	Asset management	2003-04-01	2004-04-21
	Rep	Dealing in securities	2003-04-01	2004-04-21

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
ROCIM Limited	RO	Advising on securities	2020-07-13	-
	RO	Asset management	2007-08-13	-
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2005-04-14	2007-07-27
Credit Suisse (Hong Kong) Limited	Rep	Dealing in securities	2004-06-02	2007-07-27
UBS SECURITIES ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-04-21
	Rep	Advising on securities	2003-04-01	2004-04-21
	Rep	Asset management	2003-04-01	2004-04-21
	Rep	Dealing in securities	2003-04-01	2004-04-21

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.