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HO Wai Sze

何慧思
CE AVD964Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

HO Wai Sze (CE number AVD964) is an individual licensed by the Hong Kong SFC. First licensed on 2010-05-10. Their SFC licence is currently active. Accredited for regulated activity Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (1)

RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerUBS Securities Hong Kong Limited

Licence Record (4)

2023-03-06 – present Current
UBS Securities Hong Kong Limited RO
RA 6
2016-12-19 – 2023-03-06
UBS Securities Hong Kong Limited Rep
RA 6
2012-06-07 – 2016-12-18
UBS Securities Hong Kong Limited Rep
RA 6
2010-05-10 – 2011-03-19
BOCI Asia Limited Rep
RA 6

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/AVD964