Carter Richard Ting
丁文達
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carter Richard Ting (丁文達), a licensed Responsible Officer with CE reference ADK867. Currently licensed at 2 firm(s): ICBC International Futures Limited, ICBC International Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities. Total licence records on file: 21.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ICBC International Futures Limited 工銀國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-08-31 | present |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-08-05 | present |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2015-08-05 | present |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-24 | 2015-08-05 |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-04-24 | 2018-08-31 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2014-09-01 | 2015-03-04 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2014-09-01 | 2015-03-04 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-05-03 | 2014-09-01 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-05-03 | 2014-09-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-01-10 | 2012-03-02 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-09-03 | 2012-03-02 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-06-23 | 2010-09-03 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-05-10 | 2010-05-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-05-07 | 2010-05-31 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2007-05-07 | 2010-05-31 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-07-19 | 2007-04-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2004-06-05 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2004-06-05 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-06-05 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2004-06-05 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2004-06-05 |