Nelson Shing Hing So
蘇盛興
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nelson Shing Hing So (蘇盛興), a licensed former licensee with CE reference ACH779. Total licence records on file: 27.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2013-05-02 | 2023-04-06 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-01-04 | 2023-04-06 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2013-01-04 | 2023-04-06 |
| Marex Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2011-07-04 | 2012-07-30 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-10-13 | 2011-05-23 |
| SG Asset Finance (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-10-13 | 2011-05-23 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2008-05-15 | 2009-07-31 |
| Newedge Broker Hong Kong Limited 新際經紀香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-05-15 | 2011-05-23 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-05-15 | 2009-07-31 |
| Newedge Broker Limited 新際經紀有限公司 |
Rep | Type 7 — Providing automated trading services | 2008-05-15 | 2009-07-31 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2006-10-02 | 2008-04-17 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2006-10-02 | 2008-04-17 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2006-10-02 | 2008-04-17 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2006-10-02 | 2008-04-17 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-06-17 | 2006-09-30 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-06-17 | 2005-02-04 |
| RBS Asia Futures Limited 蘇皇金融期貨亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-06-17 | 2006-09-30 |
| HSBC Securities (Asia) Limited | Rep | Type 1 — Dealing in securities | present | 2004-05-24 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-05-24 |
| HSBC Futures (Singapore) Pte Ltd | Rep | Type 2 — Dealing in futures contracts | present | 2004-05-24 |
| HSBC Securities (Asia) Limited | Rep | Type 4 — Advising on securities | present | 2004-04-06 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-04-06 |
| HSBC Futures (Singapore) Pte Ltd | Rep | Type 5 — Advising on futures contracts | present | 2003-08-29 |
| HSBC Securities (Asia) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-04-06 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-04-06 |
| HSBC Securities (Asia) Limited | Rep | Type 9 — Asset management | present | 2004-04-06 |
| HSBC Futures (Singapore) Pte Ltd | Rep | Type 9 — Asset management | present | 2003-08-29 |