Hsiao Ju Chen
陳筱汝
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hsiao Ju Chen (陳筱汝), a licensed former licensee with CE reference AWS022. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2019-11-28 | 2022-07-01 |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-11-28 | 2022-07-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | 2019-11-28 | 2022-07-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-03-14 | 2016-05-11 |
| Yuanta Futures (HK) Co., Limited 元大期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-07-11 | 2014-08-01 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-09-26 | 2013-06-28 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-09-26 | 2013-06-28 |
| Waterland Securities (HK) Company Limited 國票證券(香港)股份有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-27 | 2011-05-22 |