SFC Licences of SE Yung Yee, David Carven 施勇儀

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
M&F Asset Management Limited 渼豐資產管理有限公司 RO 9 16 February 2023
M&F Asset Management Limited 渼豐資產管理有限公司 RO 4 16 February 2023
M&F Asset Management Limited 渼豐資產管理有限公司 RO 1 16 February 2023
Greenland (Asia) Securities Co., Limited 綠地(亞洲)證券有限公司 RO 9 30 March 2022 14 December 2022
Greenland (Asia) Securities Co., Limited 綠地(亞洲)證券有限公司 RO 4 30 March 2022 14 December 2022
Greenland (Asia) Securities Co., Limited 綠地(亞洲)證券有限公司 RE 9 24 February 2022 30 March 2022
Greenland (Asia) Securities Co., Limited 綠地(亞洲)證券有限公司 RE 4 24 February 2022 30 March 2022
Prime Cdex Asset Management Limited 乾立亨資產管理有限公司 RO 9 28 September 2020 16 April 2021
Prime Cdex Futures Limited 乾立亨期貨有限公司 RO 2 28 September 2020 16 April 2021
Prime Cdex Securities Limited 乾立亨證券有限公司 RO 4 28 September 2020 16 April 2021
Prime Cdex Securities Limited 乾立亨證券有限公司 RO 1 28 September 2020 16 April 2021
Hong Kong Zhongzheng Fund Management Limited 香港忠正基金管理有限公司 RO 9 14 April 2020 30 April 2020
Hong Kong Zhongzheng Fund Management Limited 香港忠正基金管理有限公司 RO 4 14 April 2020 30 April 2020
M&F Asset Management Limited 渼豐資產管理有限公司 RO 9 11 June 2018 31 May 2019
M&F Asset Management Limited 渼豐資產管理有限公司 RO 4 11 June 2018 31 May 2019
M&F Asset Management Limited 渼豐資產管理有限公司 RO 1 11 June 2018 31 May 2019
Sun International Investment Services Limited 太陽國際投資服務有限公司 RO 9 15 November 2016 31 October 2017
Sun International Investment Services Limited 太陽國際投資服務有限公司 RO 4 15 November 2016 31 October 2017
Sun International Investment Services Limited 太陽國際投資服務有限公司 RO 1 15 November 2016 31 October 2017
Imperium International Securities Limited 帝國國際証券有限公司 RO 4 25 August 2014 04 May 2016
Imperium International Securities Limited 帝國國際証券有限公司 RO 2 16 December 2013 04 May 2016
Imperium International Securities Limited 帝國國際証券有限公司 RO 1 16 December 2013 04 May 2016
Imperium International Asset Management Limited 帝國國際資產管理有限公司 RO 9 02 October 2013 31 May 2016
Imperium International Asset Management Limited 帝國國際資產管理有限公司 RO 5 02 October 2013 31 May 2016
Imperium International Asset Management Limited 帝國國際資產管理有限公司 RO 4 02 October 2013 31 May 2016
China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 RO 5 04 October 2011 17 September 2013
China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 RO 2 04 October 2011 17 September 2013
China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 RE 5 23 August 2011 04 October 2011
China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 RE 2 23 August 2011 04 October 2011
China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 RO 9 14 March 2011 17 September 2013
China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 RO 4 14 March 2011 17 September 2013
China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 RO 1 14 March 2011 17 September 2013
China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 RE 9 06 January 2011 14 March 2011
China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 RE 4 06 January 2011 14 March 2011
China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 RE 1 06 January 2011 14 March 2011
FT Securities Limited 富通證券有限公司 RO 5 22 September 2005 16 December 2010
FT Securities Limited 富通證券有限公司 RO 2 22 September 2005 16 December 2010
Jefferies Bache (Hong Kong) Limited RO 2 08 February 2005 04 October 2005
FT Securities Limited 富通證券有限公司 RO 9 01 April 2003 16 December 2010
FT Securities Limited 富通證券有限公司 RO 4 01 April 2003 16 December 2010
FT Securities Limited 富通證券有限公司 RO 1 01 April 2003 16 December 2010
Jefferies Bache (Hong Kong) Limited RE 2 01 April 2003 08 February 2005
Jefferies Bache (Hong Kong) Limited RE 9 01 April 2003 07 December 2004
FT Securities Limited 富通證券有限公司 RO 6 01 April 2003 07 December 2004
Jefferies Bache (Hong Kong) Limited RE 5 01 April 2003 07 December 2004