Walter Chang
陳華德
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Walter Chang (陳華德), a licensed Responsible Officer with CE reference ABT445. Currently licensed at 1 firm(s): ROCIM Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ROCIM Limited | RO | Type 4 — Advising on securities | 2020-07-13 | present |
| ROCIM Limited | RO | Type 9 — Asset management | 2007-08-13 | present |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-14 | 2007-07-27 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-06-02 | 2007-07-27 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | present | 2004-04-21 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | present | 2004-04-21 |
| UBS Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-04-21 |
| UBS Securities Asia Limited | Rep | Type 9 — Asset management | present | 2004-04-21 |