Carrie Sau Chun Wong
王秀珍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carrie Sau Chun Wong (王秀珍), a licensed former licensee with CE reference ACX079. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2014-04-30 | 2020-07-31 |
| Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-04-30 | 2020-07-31 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
Rep | Type 1 — Dealing in securities | 2012-10-22 | 2014-04-16 |
| Ping An Securities (Hong Kong) Futures Company Limited 平安證券（香港）期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-10-22 | 2014-04-16 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-05-18 | 2012-05-19 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-05-18 | 2012-05-19 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-03-01 | 2010-04-14 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2010-03-01 | 2010-04-14 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-12-01 | 2008-10-01 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2005-12-01 | 2008-10-01 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2008-10-01 |
| Bear Stearns Hong Kong Limited 貝爾斯登香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2008-10-01 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-12-09 |
| Bear Stearns Hong Kong Limited 貝爾斯登香港有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2008-10-01 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-12-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-12-09 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-12-09 |
| Bear Stearns Hong Kong Limited 貝爾斯登香港有限公司 |
Rep | Type 9 — Asset management | present | 2004-12-09 |