Shun Tak So
蘇淳德
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shun Tak So (蘇淳德), a licensed Representative with CE reference ANJ837. Currently licensed at 1 firm(s): China Universal Asset Management (Hong Kong) Company Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Universal Asset Management (Hong Kong) Company Limited 匯添富資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-12-13 | present |
| China Universal Asset Management (Hong Kong) Company Limited 匯添富資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2016-12-13 | present |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-11-04 | 2016-11-30 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2013-05-13 | 2014-10-26 |
| MUFG Securities Asia Limited 三菱日聯證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-06-21 | 2012-07-04 |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-24 | 2011-06-20 |
| CMB International Capital Holdings Corporation Limited 招銀國際金融控股有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-09 | 2010-11-16 |
| ICBC International Research Limited 工銀國際證券研究有限公司 |
Rep | Type 4 — Advising on securities | 2009-07-10 | 2010-06-28 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-06-15 | 2009-07-14 |
| ICEA Securities Asia Limited 工商東亞證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2007-02-12 | 2009-05-27 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 4 — Advising on securities | 2006-05-15 | 2007-01-29 |