Yu Lung Tsao
曹郁龍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yu Lung Tsao (曹郁龍), a licensed former licensee with CE reference ANN468. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-11-19 | 2016-03-31 |
| Sumo Asset Management Limited 盛門資產管理有限公司 |
RO | Type 4 — Advising on securities | 2013-02-25 | 2014-11-14 |
| Sumo Asset Management Limited 盛門資產管理有限公司 |
RO | Type 9 — Asset management | 2013-02-25 | 2014-11-14 |
| iTTa Capital Limited 意達資本有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-29 | 2012-11-30 |
| Sumo Asset Management Limited 盛門資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-04-13 | 2013-02-25 |
| Sumo Asset Management Limited 盛門資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-04-13 | 2013-02-25 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-07-09 | 2008-11-19 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2007-07-09 | 2008-11-19 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2007-07-09 | 2008-11-19 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-22 | 2007-06-25 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-06-22 | 2007-06-25 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 5 — Advising on futures contracts | 2006-06-22 | 2007-06-25 |