SFC Licences of YIP So Ling 葉素玲

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

Institution Role Licences Start date End date
RBC Investment Services (Asia) Limited 加皇投資理財有限公司 RE 5 01 November 2010 25 February 2013
RBC Investment Services (Asia) Limited 加皇投資理財有限公司 RE 4 01 November 2010 25 February 2013
RBC Investment Services (Asia) Limited 加皇投資理財有限公司 RE 2 01 November 2010 25 February 2013
RBC Investment Services (Asia) Limited 加皇投資理財有限公司 RE 1 01 November 2010 25 February 2013
FT Securities Limited 富通證券有限公司 RE 5 30 September 2005 31 October 2010
FT Securities Limited 富通證券有限公司 RE 2 30 September 2005 31 October 2010
Jefferies Bache (Hong Kong) Limited RE 2 23 July 2004 04 October 2005
FT Securities Limited 富通證券有限公司 RE 1 25 March 2004 31 October 2010
DBS Vickers Securities Online (HK) Limited 星展唯高達網上證券(香港)有限公司 RE 9 01 April 2003 19 March 2004
DBS Vickers Securities Online (HK) Limited 星展唯高達網上證券(香港)有限公司 RE 6 01 April 2003 19 March 2004
DBS Vickers Securities Online (HK) Limited 星展唯高達網上證券(香港)有限公司 RE 4 01 April 2003 19 March 2004
DBS Vickers Securities Online (HK) Limited 星展唯高達網上證券(香港)有限公司 RE 1 01 April 2003 19 March 2004
DBS TD Waterhouse Securities (Hong Kong) Limited DBS宏達理財證券有限公司 RE 4 01 April 2003 13 February 2004
DBS TD Waterhouse Securities (Hong Kong) Limited DBS宏達理財證券有限公司 RE 6 01 April 2003 13 February 2004
DBS TD Waterhouse Securities (Hong Kong) Limited DBS宏達理財證券有限公司 RE 9 01 April 2003 13 February 2004
DBS TD Waterhouse Securities (Hong Kong) Limited DBS宏達理財證券有限公司 RE 1 01 April 2003 13 February 2004
TD Waterhouse Investor Services (Hong Kong) Inc. TD Waterhouse Investor Services (Hong Kong) Inc. RE 6 01 April 2003 07 November 2003
TD Waterhouse Investor Services (Hong Kong) Inc. TD Waterhouse Investor Services (Hong Kong) Inc. RE 4 01 April 2003 07 November 2003
TD Waterhouse Investor Services (Hong Kong) Inc. TD Waterhouse Investor Services (Hong Kong) Inc. RE 1 01 April 2003 07 November 2003
TD Waterhouse Investor Services (Hong Kong) Inc. TD Waterhouse Investor Services (Hong Kong) Inc. RE 9 01 April 2003 07 November 2003