Mark Chuck Pui Wan
溫灼培
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mark Chuck Pui Wan (溫灼培), a licensed Responsible Officer with CE reference ACZ170. Currently licensed at 1 firm(s): Hang Seng Investment Services Limited. Active regulated activities: Type 4 — Advising on securities. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Hang Seng Investment Services Limited 恒生投資服務有限公司 |
RO | Type 4 — Advising on securities | 2017-06-23 | present |
| Hang Seng Investment Services Limited 恒生投資服務有限公司 |
Rep | Type 4 — Advising on securities | 2007-12-04 | 2017-06-23 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-05-19 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2005-05-19 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-26 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-02-26 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-26 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-26 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-26 |