SFC Licences of SEE Anne Yu 施柔安
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 4 | 03 October 2017 | 13 June 2019 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 03 October 2017 | 13 June 2019 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 4 | 23 May 2014 | 02 October 2017 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 23 May 2014 | 02 October 2017 |
| Leading Securities Company Limited 立鼎證券有限公司 | RO | 1 | 27 March 2014 | 17 April 2014 |
| Leading Securities Company Limited 立鼎證券有限公司 | RE | 4 | 14 January 2014 | 17 April 2014 |
| Leading Securities Company Limited 立鼎證券有限公司 | RE | 1 | 14 January 2014 | 27 March 2014 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 | RE | 4 | 24 December 2012 | 02 November 2013 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 | RE | 1 | 14 November 2011 | 02 November 2013 |