Standard & Poor's, LLC
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Standard & Poor's, LLC, a Hong Kong-based licensed corporation with CE reference AIC760. Current licensed staff on file: 0 (total recorded over time: 26).
Licence history
| Activity | From | To |
|---|---|---|
| Type 4 — Advising on securities | present | 2010-12-21 |
| Type 5 — Advising on futures contracts | present | 2005-03-30 |
Licensed staff (all-time) (26)
Active on date
| Name | Activities | First licensed | To |
|---|---|---|---|
| Kok Yi Lee 李國宜 | RO 4, 5 Rep 4 | 2003-05 | 2007-11 |
| Robin Bun Lo 盧斌 | RO 4 | 2007-11 | 2010-10 |
| Edna Lorraine Tan | RO 4 Rep 4 | 2003-04 | 2010-10 |
| Charles Austin Wheeler | RO 4, 5 | Pre-2003 | 2005-02 |
| Sze Chuen Wong 黃思全 | RO 4, 5 Rep 4, 5 | Pre-2003 | 2004-05 |
| Wai Yee (SFC:AFX435) Chan 陳慧懿 | Rep 4 | 2004-07 | 2007-05 |
| Ming-Chao Chen 陳明照 | Rep 4 | 2009-11 | 2010-12 |
| Boon Lee Chua | Rep 4 | 2005-06 | 2007-01 |
| Shuk Yee Chui 崔淑儀 | Rep 4 | 2009-11 | 2010-10 |
| Hanshui Huang | Rep 4 | 2005-03 | 2005-09 |
| Dean Hon Khor | Rep 4 | 2005-03 | 2005-09 |
| Steven Wee Kok Koh | Rep 4 | 2003-04 | 2005-01 |
| Yeu Huan Lai | Rep 4 | 2004-04 | 2005-08 |
| Wai Ling (SFC:ALZ232) Lee 李慧玲 | Rep 4 | 2005-06 | 2007-11 |
| Chuan Yang Lim 林川揚 | Rep 4 | 2003-06 | 2004-12 |
| Chia-Yu Lin 林家宇 | Rep 4 | 2006-03 | 2010-10 |
| Vincent Chin Yong Ng | Rep 4 | 2005-03 | 2005-09 |
| Siow Wan Seng | Rep 4 | 2005-03 | 2005-09 |
| Winston Kah Wai Siay | Rep 4 | 2003-04 | 2005-09 |
| David So 蘇俠雲 | Rep 4 | Pre-2003 | 2006-05 |
| Ching Wan Tsang 曾青雲 | Rep 4 | 2009-11 | 2010-10 |
| Raymond Chun Ming Tse 謝俊明 | Rep 4 | 2009-11 | 2010-10 |
| Cheuk Shing Wong 黃焯誠 | Rep 4 | 2010-08 | 2010-10 |
| Sharon Pik Lim Wong | Rep 4 | 2004-03 | 2010-10 |
| Kit Yu Yau 邱潔如 | Rep 4 | 2008-10 | 2008-11 |
| Linna Yu 余蓮娜 | Rep 4 | 2005-11 | 2006-10 |
Showing 1–26 of 26