Ku, Sanqi 庫三七
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 | Yunfeng Asset Management Limited | Rep | Asset management | 2019-09-02 | 2022-02-23 | RO | Asset management | 2022-02-23 | RO | Advising on securities | 2022-06-21 |
| 2 | Yunfeng Financial Markets Limited | Rep | Dealing in securities | 2019-09-02 | 2019-11-18 | Rep | Advising on securities | 2019-09-02 | 2021-04-20 | Rep | Asset management | 2019-09-02 | 2021-04-20 | RO | Dealing in securities | 2019-11-18 | RO | Advising on securities | 2022-02-23 | RO | Asset management | 2022-02-23 | RO | Advising on corporate finance | 2022-03-14 | 2023-10-16 |
| 3 | Yunfeng Securities Limited | Rep | Dealing in securities | 2019-09-02 | 2019-11-18 | Rep | Advising on securities | 2019-09-02 | 2020-02-19 | RO | Dealing in securities | 2019-11-18 | RO | Advising on securities | 2021-11-23 |
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