SFC Licences of YAU Sheung Kam 邱湘琴
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 | RE | 1 | 06 September 2022 | |
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 19 September 2016 | 21 June 2022 |
South Ocean Management Limited | RE | 9 | 12 March 2013 | 31 August 2016 |
Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RO | 1 | 28 February 2005 | 20 January 2011 |
Barclays Capital Asia Limited 巴克萊亞洲有限公司 | RE | 1 | 01 February 2005 | 28 February 2005 |
Barclays Capital Securities Asia Limited 巴克萊證券亞洲有限公司 | RE | 1 | 20 December 2004 | 01 February 2005 |
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 1 | 01 April 2003 | 14 September 2004 |
Deutsche Futures Hong Kong Limited 德意志期貨香港有限公司 | RE | 2 | 01 April 2003 | 29 June 2004 |
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 4 | 01 April 2003 | 16 April 2004 |
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 9 | 01 April 2003 | 08 January 2004 |
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 6 | 01 April 2003 | 08 January 2004 |