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TUNG Hong, Erik

童慷
CE ADS384Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

TUNG Hong, Erik (CE number ADS384) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerNomura International (Hong Kong) Limited
野村國際(香港)有限公司

Licence Record (6)

2009-05-06 – present Current
Nomura International (Hong Kong) Limited RO
RA 1 RA 4 RA 6
2008-10-10 – 2009-05-06
Nomura International (Hong Kong) Limited Rep
RA 4 RA 6
2006-04-19 – 2008-09-29
Lehman Brothers Asia Limited RO
RA 6
2005-10-14 – 2008-09-29
Lehman Brothers Asia Limited Rep
RA 4 RA 6
2004-08-17 – 2005-08-30
Merrill Lynch Far East Limited Rep
RA 1 RA 4 RA 6
2003-04-01 – 2005-08-30
Merrill Lynch (Asia Pacific) Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ADS384