SFC licenceholder ALA314 YUEN Ka Yat 袁嘉逸

Licences

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

Updated: 03 April 2020

Institution Role Licences Start date End date
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE [4] (Advising on Securities), [6] (Advising on Corporate Finance) 19 August 2019
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE [1] (Dealing in Securities) 18 July 2018
Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 RE [9] (Asset Management) 18 July 2018 22 July 2019
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) 19 June 2015 30 March 2018
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [1] (Dealing in Securities) 19 June 2015 30 March 2018
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [7] (Providing Automated Trading Services) 19 June 2015 17 August 2015
LIM Advisors Limited RE [9] (Asset Management) 02 July 2009 12 June 2015
Sculptor Capital Management Hong Kong Limited 司韜資本管理(香港)有限公司 RE [9] (Asset Management) 22 November 2007 30 March 2009
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 17 September 2004 04 October 2007
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [6] (Advising on Corporate Finance) 17 September 2004 01 June 2007