Winnie Mo Sze Chiu
趙慕詩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Winnie Mo Sze Chiu (趙慕詩), a licensed former licensee with CE reference AFT535. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | RO | Type 1 — Dealing in securities | 2010-11-09 | 2012-11-10 |
| UBS Derivatives Hong Kong Limited | RO | Type 2 — Dealing in futures contracts | 2010-11-09 | 2012-11-10 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2009-09-28 | 2012-11-10 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2009-09-28 | 2010-11-09 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2009-09-28 | 2012-11-10 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2009-09-28 | 2010-11-09 |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2007-02-02 | 2008-02-16 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2007-02-02 | 2008-02-16 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2005-05-19 | 2007-02-02 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2005-05-19 | 2008-02-16 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2007-02-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |