SFC Licences of HO Yan 何欣

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

Institution Role Licences Start date End date
Hang Seng Investment Management Limited 恒生投資管理有限公司 RE 9 03 December 2020
Hang Seng Investment Management Limited 恒生投資管理有限公司 RE 4 03 December 2020
Hang Seng Investment Management Limited 恒生投資管理有限公司 RE 1 03 December 2020
HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 RO 3 18 September 2019 25 August 2020
HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 RO 2 17 November 2017 25 August 2020
HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 RO 1 17 November 2017 25 August 2020
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 RO 1 17 November 2017 25 August 2020
HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 RE 3 14 May 2015 18 September 2019
HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 RE 2 01 April 2003 04 December 2017
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 RE 1 01 April 2003 17 November 2017
HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 RE 1 01 April 2003 17 November 2017
HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 RE 2 01 April 2003 17 November 2017
HSBC Broking (China) Limited 滙豐金融(中國)有限公司 RE 1 01 April 2003 14 August 2012
HSBC Broking (China) Limited 滙豐金融(中國)有限公司 RE 4 01 April 2003 05 August 2004
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 RE 4 01 April 2003 05 August 2004
HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 RE 4 01 April 2003 05 August 2004
HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 RE 5 01 April 2003 05 August 2004
HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 RE 5 01 April 2003 05 August 2004
HSBC Broking (China) Limited 滙豐金融(中國)有限公司 RE 6 01 April 2003 05 August 2004
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 RE 6 01 April 2003 05 August 2004
HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 RE 6 01 April 2003 05 August 2004
HSBC Broking (China) Limited 滙豐金融(中國)有限公司 RE 9 01 April 2003 05 August 2004
HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 RE 9 01 April 2003 05 August 2004
HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 RE 9 01 April 2003 05 August 2004
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 RE 9 01 April 2003 05 August 2004
HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 RE 9 01 April 2003 05 August 2004
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 RE 7 01 April 2003 02 September 2003