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Tu, Chia-Le Carol Hong Kong SFC License Details (ID 121057)
Tu, Chia-Le Carol
SFC ID:
AOT598
Key Data
SFC Licenses
Public Disciplinary Actions
SFC licenses
A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.
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Organisation
Role
Activity
From
Until
SMBC NIKKO SECURITIES (HONG KONG) LIMITED
Rep
Advising on securities
2007-06-20
2009-03-06
Rep
Asset management
2007-06-20
2009-03-06
Rep
Dealing in securities
2007-06-20
2009-03-06