Yuen, Siu Ting 阮少婷

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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 CINDA INTERNATIONAL FUTURES LIMITED Rep Advising on futures contracts 2003-05-06
Rep Asset management 2003-05-06
Rep Dealing in futures contracts 2003-05-07
Rep Dealing in futures contracts 2003-10-21 2004-06-25
2 CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED Rep Leveraged foreign exchange trading 2003-05-07
Rep Leveraged foreign exchange trading 2003-10-21 2004-06-25
3 CINDA INTERNATIONAL SECURITIES LIMITED Rep Advising on corporate finance 2003-05-06
Rep Advising on securities 2003-05-06
Rep Asset management 2003-05-06
Rep Automated trading services 2003-05-07
Rep Dealing in securities 2003-05-07
Rep Dealing in securities 2003-10-21 2004-06-25
4 FWD Life Insurance Company (Bermuda) Limited Rep Asset management 2012-07-12 2014-09-08
5 Goldman Sachs Investment Management Hong Kong Limited Rep Advising on securities 2011-11-04 2012-07-01
Rep Asset management 2011-11-04 2012-07-01
Rep Dealing in securities 2011-11-04 2012-07-01
6 HSBC Global Asset Management (Hong Kong) Limited Rep Advising on securities 2014-09-29 2019-03-04
Rep Asset management 2014-09-29 2019-03-04
Rep Dealing in securities 2014-09-29 2019-03-04
Rep Advising on futures contracts 2021-04-27 2023-06-30
Rep Advising on securities 2021-04-27 2023-06-30
Rep Asset management 2021-04-27 2023-06-30
Rep Dealing in securities 2021-04-27 2023-06-30
7 HSBC INVESTMENT FUNDS (HONG KONG) LIMITED Rep Dealing in securities 2014-09-29 2019-03-04

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