SFC Licences of KIM Anna Yen 嚴立恬
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
Leading Securities Company Limited 立鼎證券有限公司 | RE | 9 | 10 May 2016 | 29 August 2016 |
Leading Securities Company Limited 立鼎證券有限公司 | RE | 4 | 10 May 2016 | 29 August 2016 |
Leading Securities Company Limited 立鼎證券有限公司 | RE | 1 | 10 May 2016 | 29 August 2016 |
UBS Derivatives Hong Kong Limited | RE | 2 | 28 June 2010 | 23 January 2013 |
UBS Securities Asia Limited | RE | 2 | 28 June 2010 | 23 January 2013 |
UBS Securities Asia Limited | RE | 1 | 28 June 2010 | 23 January 2013 |
UBS Securities Hong Kong Limited | RE | 1 | 28 June 2010 | 23 January 2013 |
J.P. Morgan Broking (Hong Kong) Limited | RE | 5 | 03 April 2006 | 14 March 2008 |
J.P. Morgan Broking (Hong Kong) Limited | RE | 4 | 03 April 2006 | 14 March 2008 |
J.P. Morgan Broking (Hong Kong) Limited | RE | 2 | 03 April 2006 | 14 March 2008 |
J.P. Morgan Broking (Hong Kong) Limited | RE | 1 | 03 April 2006 | 14 March 2008 |