Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

WOO Wing Sum, Caroline

胡陳詠心
CE ANT715Licensed IndividualSFO licence active
Official SFC record

WOO Wing Sum, Caroline (CE number ANT715) is an individual licensed by the Hong Kong SFC. First licensed on 2006-08-09. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeLucky Guosheng Securities Limited
幸運國盛證券有限公司

Licence Record (4)

2021-11-12 – present Current
Lucky Guosheng Securities Limited Rep
RA 1 RA 4 RA 9
2018-10-29 – 2019-07-04
BOCHK Asset Management Limited Rep
RA 1 RA 4 RA 9
2017-06-21 – 2018-08-14
BOCI Securities Limited Rep
RA 1 RA 2 RA 4
2006-08-09 – 2007-04-26
Merrill Lynch (Asia Pacific) Limited Rep
RA 1

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/ANT715