See, Anne Yu 施柔安
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 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2011-11-14 | 2013-11-02 | Rep | Advising on securities | 2012-12-24 | 2013-11-02 |
| 2 | KGI ASIA LIMITED | Rep | Advising on securities | 2014-05-23 | 2017-10-02 | Rep | Dealing in securities | 2014-05-23 | 2017-10-02 | Rep | Advising on securities | 2017-10-03 | 2019-06-13 | Rep | Dealing in securities | 2017-10-03 | 2019-06-13 |
| 3 | Leading Securities Company Limited | Rep | Dealing in securities | 2014-01-14 | 2014-03-27 | Rep | Advising on securities | 2014-01-14 | 2014-04-17 | RO | Dealing in securities | 2014-03-27 | 2014-04-17 |
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