Caroline Wing Sum Woo
胡陳詠心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Caroline Wing Sum Woo (胡陳詠心), a licensed Representative with CE reference ANT715. Currently licensed at 1 firm(s): Lucky Guosheng Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 10.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-11-12 | present |
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
Rep | Type 4 — Advising on securities | 2021-11-12 | present |
| Lucky Guosheng Securities Limited 幸運國盛證券有限公司 |
Rep | Type 9 — Asset management | 2021-11-12 | present |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2018-11-30 | 2019-07-04 |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2018-10-29 | 2019-07-04 |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2018-10-29 | 2019-07-04 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-11-10 | 2018-08-14 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-21 | 2018-08-14 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-06-21 | 2018-08-14 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2006-08-09 | 2007-04-26 |