Soo Sum Chan
陳素心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Soo Sum Chan (陳素心), a licensed Representative with CE reference AOY533. Currently licensed at 2 firm(s): UOB Kay Hian Futures (Hong Kong) Limited, UOB Kay Hian (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-08-10 | present |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-02-21 | present |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-13 | 2013-09-27 |
| VC Brokerage Limited 滙盈證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-07-25 | 2010-11-27 |
| VC Futures Limited 滙盈期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-07-25 | 2010-11-27 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-05-22 | 2007-07-05 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-05-22 | 2007-07-05 |