DBS TD Waterhouse Securities (Hong Kong) Limited
DBS宏達理財證券有限公司
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for DBS TD Waterhouse Securities (Hong Kong) Limited (DBS宏達理財證券有限公司), a Hong Kong-based licensed corporation with CE reference AFE349. Current licensed staff on file: 0 (total recorded over time: 7).
Licence history
| Activity | From | To |
|---|---|---|
| Type 1 — Dealing in securities | present | 2004-02-13 |
| Type 4 — Advising on securities | present | 2004-02-13 |
| Type 6 — Advising on corporate finance | present | 2004-02-13 |
| Type 9 — Asset management | present | 2004-02-13 |
Licensed staff (all-time) (7)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Juliana Mei Shi Chow 周美思 | RO 1 | Pre-2003 | 2003-08 |
| Ka Man Leung 梁嘉雯 | RO 1, 4, 6, 9 | Pre-2003 | 2004-02 |
| Richard Thomas William Wilks | RO 1 | Pre-2003 | 2003-12 |
| Siu Kay Chung 鍾兆基 | Rep 1, 4, 6, 9 | Pre-2003 | 2003-10 |
| Man Leung Kwan 關文亮 | Rep 1, 4, 6, 9 | Pre-2003 | 2004-02 |
| Man Lai Ngo 敖文麗 | Rep 1, 4, 6, 9 | Pre-2003 | 2004-02 |
| So Ling Yip 葉素玲 | Rep 1, 4, 6, 9 | Pre-2003 | 2004-02 |
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