Kelvin Ka Ming Sze
施嘉銘
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kelvin Ka Ming Sze (施嘉銘), a licensed former licensee with CE reference AOU402. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Natixis Asia Limited | Rep | Type 1 — Dealing in securities | 2023-12-04 | 2025-05-28 |
| Natixis Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2023-12-04 | 2025-05-28 |
| Cheung On Securities Limited 長安證券有限公司 |
Rep | Type 4 — Advising on securities | 2023-11-17 | 2023-11-17 |
| Cheung On Securities Limited 長安證券有限公司 |
RO | Type 4 — Advising on securities | 2023-10-18 | 2023-11-17 |
| Cheung On Securities Limited 長安證券有限公司 |
RO | Type 9 — Asset management | 2023-10-18 | 2023-11-17 |
| Cheung On Securities Limited 長安證券有限公司 |
Rep | Type 9 — Asset management | 2023-09-26 | 2023-10-18 |
| New Region Securities Company Limited 恒盛證券有限公司 |
Rep | Type 1 — Dealing in securities | 2023-07-07 | 2023-09-21 |
| New Region Securities Company Limited 恒盛證券有限公司 |
Rep | Type 9 — Asset management | 2023-07-07 | 2023-09-21 |
| Aisance Asset Management Limited 君達資產管理有限公司 |
Rep | Type 9 — Asset management | 2014-02-19 | 2015-10-15 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-08-20 | 2013-12-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-04-11 | 2013-12-04 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-04-11 | 2010-08-20 |