Rio So Sum Pang
彭素心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rio So Sum Pang (彭素心), a licensed Representative with CE reference ARL756. Currently licensed at 1 firm(s): BOCHK Asset Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 9.
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 |
|---|---|---|---|---|
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2021-10-20 | present |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-10-20 | present |
| BOCHK Asset Management Limited 中銀香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-10-20 | present |
| HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Type 4 — Advising on securities | 2012-10-16 | 2020-01-20 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | Rep | Type 9 — Asset management | 2012-10-16 | 2020-08-04 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-08-07 | 2020-11-05 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-08-07 | 2020-11-05 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2008-08-07 | 2020-11-05 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2008-08-07 | 2020-11-05 |