SFC Licences of YIU Pok Man 姚博文

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

Institution	Role	Licences	Start date	End date
Basel Capital Limited 巴塞爾資本有限公司	RO	9	09 October 2020
Basel Capital Limited 巴塞爾資本有限公司	RO	4	09 October 2020
Basel Capital Limited 巴塞爾資本有限公司	RE	9	24 August 2020	09 October 2020
Basel Capital Limited 巴塞爾資本有限公司	RE	4	24 August 2020	09 October 2020
ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司	RO	9	27 September 2017	27 May 2020
ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司	RO	4	27 September 2017	27 May 2020
ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司	RO	1	27 September 2017	27 May 2020
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司	RO	9	06 July 2016	28 February 2017
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司	RO	4	06 July 2016	28 February 2017
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司	RO	1	06 July 2016	28 February 2017
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司	RE	1	25 June 2015	06 July 2016
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司	RE	9	08 October 2014	06 July 2016
Noah Holdings (Hong Kong) Limited 諾亞控股(香港)有限公司	RE	4	08 October 2014	06 July 2016
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司	RE	6	11 July 2011	30 August 2013
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司	RE	1	11 July 2011	30 August 2013
Citigroup Global Markets Hong Kong Futures and Securities Limited	RE	1	11 July 2011	31 January 2012
Merrill Lynch Far East Limited	RE	4	05 March 2010	26 May 2011
Merrill Lynch Far East Limited	RE	1	05 March 2010	26 May 2011
Merrill Lynch (Asia Pacific) Limited	RE	4	05 March 2010	26 May 2011
Merrill Lynch (Asia Pacific) Limited	RE	1	05 March 2010	26 May 2011
Merrill Lynch Far East Limited	RE	6	23 February 2010	26 May 2011
Merrill Lynch (Asia Pacific) Limited	RE	6	23 February 2010	26 May 2011
Beijing Securities Limited 北京證券有限公司	RE	6	30 October 2009	13 February 2010