Mo Chen
陳沫
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mo Chen (陳沫), a licensed former licensee with CE reference AJI019. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2011-11-08 | 2013-09-07 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-09-14 | 2013-09-07 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2005-12-06 | 2010-09-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2005-12-02 | 2013-09-07 |
| Sarasin Rabo Investment Management Limited 瑞士嘉盛萊寶投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2005-01-07 | 2005-11-01 |
| Sarasin Rabo Investment Management Limited 瑞士嘉盛萊寶投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2004-11-11 | 2005-11-01 |
| Sun Hung Kai Research Limited 新鴻基資料研究有限公司 |
Rep | Type 4 — Advising on securities | 2004-03-03 | 2004-10-26 |