Yu, Ching Yat 于正一
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | AJ Asset Management Limited | Rep | Asset management | 2019-01-31 | 2024-06-17 |
2 | AJ Securities Limited | Rep | Dealing in securities | 2018-03-09 | 2018-04-18 | RO | Dealing in securities | 2018-04-18 | 2024-06-17 | RO | Advising on securities | 2018-07-20 | 2024-06-17 |
3 | DBS VICKERS (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2004-08-09 | 2006-06-24 | Rep | Dealing in securities | 2004-08-09 | 2006-06-24 |
4 | HEAD & SHOULDERS ASSET MANAGEMENT LIMITED | Rep | Asset management | 2015-12-07 | 2017-07-22 |
5 | HEAD & SHOULDERS SECURITIES LIMITED | Rep | Dealing in securities | 2014-01-10 | 2014-05-19 | RO | Dealing in securities | 2014-05-19 | 2017-07-22 | Rep | Advising on securities | 2014-07-14 | 2017-07-22 |
6 | HONGKONG NEW PORT FUND MANAGEMENT LIMITED | RO | Advising on securities | 2024-06-18 | RO | Asset management | 2024-06-18 |
7 | JIMEI SECURITIES LIMITED | RO | Dealing in securities | 2017-08-21 | 2018-01-31 |
8 | MAGIC COMPASS FUTURES LIMITED | Rep | Advising on futures contracts | 2004-01-16 | Rep | Asset management | 2004-01-16 | Rep | Dealing in futures contracts | 2004-01-16 |
9 | Polaris Capital (Asia) Limited | Rep | Dealing in securities | 2004-01-19 | 2004-08-02 |
10 | Prime Cdex Securities Limited | Rep | Advising on corporate finance | 2004-01-16 | Rep | Advising on securities | 2004-01-16 | Rep | Asset management | 2004-01-16 | Rep | Dealing in securities | 2004-01-16 |
11 | RaffAello Securities (HK) Limited | Rep | Dealing in securities | 2011-09-09 | 2011-10-31 |
12 | SANFULL FUTURES LIMITED | Rep | Dealing in futures contracts | 2012-07-16 | 2013-12-31 |
13 | SANFULL SECURITIES LIMITED | Rep | Dealing in securities | 2011-11-18 | 2013-12-31 |
14 | Yuanta Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2004-01-19 | 2004-08-02 |
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