Yao, Peng (SFC:AXC426) 姚鵬
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 | CCB Securities Limited | RO | Advising on securities | 2019-11-05 | 2020-07-31 | RO | Asset management | 2019-11-05 | 2020-07-31 |
| 2 | HFT INVESTMENT MANAGEMENT (HK) LIMITED | Rep | Advising on securities | 2011-04-01 | 2015-08-22 | Rep | Asset management | 2011-04-01 | 2015-08-22 |
| 3 | Shinhan Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2017-07-21 | 2017-09-14 | Rep | Asset management | 2017-07-21 | 2017-09-14 | RO | Advising on securities | 2017-09-14 | 2019-06-17 | RO | Asset management | 2017-09-14 | 2019-06-17 |
| 4 | TAIPING ASSETS MANAGEMENT (HK) COMPANY LIMITED | Rep | Advising on securities | 2020-10-20 | 2020-11-23 | Rep | Asset management | 2020-10-20 | 2020-11-23 | RO | Advising on securities | 2020-11-23 | RO | Asset management | 2020-11-23 |
| 5 | UBP ASSET MANAGEMENT ASIA LIMITED | Rep | Advising on securities | 2015-08-24 | 2017-06-01 | Rep | Asset management | 2015-08-24 | 2017-06-01 | Rep | Dealing in securities | 2015-08-24 | 2017-06-01 |
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