David Soh
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Soh ( ), a licensed former licensee with CE reference AEI247. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
RO | Type 1 — Dealing in securities | 2021-02-04 | 2021-06-01 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 1 — Dealing in securities | 2020-09-03 | 2021-02-04 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 4 — Advising on securities | 2020-09-03 | 2021-06-01 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2014-05-30 | 2019-11-05 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2014-05-30 | 2019-11-05 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2011-08-24 | 2013-08-30 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-03 | 2011-08-24 |
| T.F.S. Derivatives HK Limited | Rep | Type 1 — Dealing in securities | 2010-01-04 | 2010-05-03 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 1 — Dealing in securities | present | 2008-04-01 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-10-22 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-10-13 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-13 |