Soo Lik Keoy
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Soo Lik Keoy ( ), a licensed former licensee with CE reference ACX414. Total licence records on file: 28.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2023-11-06 | 2024-08-19 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2023-11-06 | 2024-08-19 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2023-11-06 | 2024-08-19 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2023-03-02 | 2023-06-09 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2023-03-02 | 2023-06-09 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2023-03-02 | 2023-06-09 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2020-01-31 | 2023-03-02 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2020-01-31 | 2023-03-02 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-01-31 | 2023-03-02 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-11-18 | 2020-01-31 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-11-18 | 2020-01-31 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-11-18 | 2020-01-31 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 1 — Dealing in securities | 2017-07-31 | 2019-07-09 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 4 — Advising on securities | 2017-07-31 | 2019-07-09 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-07-31 | 2019-07-09 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-03 | 2017-07-31 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 4 — Advising on securities | 2014-06-03 | 2017-07-31 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-06-03 | 2017-07-31 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 1 — Dealing in securities | 2010-12-01 | 2014-06-03 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 4 — Advising on securities | 2010-12-01 | 2014-06-03 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-12-01 | 2014-06-03 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
Rep | Type 1 — Dealing in securities | 2010-08-03 | 2010-09-03 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-08-03 | 2010-09-03 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2006-07-31 | 2010-02-03 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2006-07-31 | 2010-02-03 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2006-07-31 | 2010-02-03 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-03-28 | 2006-07-31 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-03-28 | 2006-07-31 |