SFC licenceholder AJI837 HON Sau Yee, Kenneth 韓守義

Licences

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

Updated: 28 February 2020

Institution Role Licences Start date End date
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [4] (Advising on Securities) 16 November 2016
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 15 June 2016
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RO [1] (Dealing in Securities) 15 June 2016
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 15 April 2016 15 June 2016
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [1] (Dealing in Securities) 15 April 2016 15 June 2016
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RO [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) 17 December 2012 01 April 2016
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RO [1] (Dealing in Securities), [4] (Advising on Securities) 05 October 2012 01 April 2016
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities) 19 June 2012 05 October 2012
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RO [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [4] (Advising on Securities), [5] (Advising on Futures Contracts) 02 June 2011 21 March 2012
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 28 April 2010 02 June 2011
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RO [1] (Dealing in Securities) 17 September 2008 22 February 2010
Citigroup Global Markets Hong Kong Futures and Securities Limited RO [2] (Dealing in Futures Contracts) 17 September 2008 22 February 2010
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 RE [1] (Dealing in Securities) 05 January 2004 17 September 2008
Citigroup Global Markets Hong Kong Futures and Securities Limited RE [2] (Dealing in Futures Contracts) 05 January 2004 17 September 2008