Yim, Fung 閻峰
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 | GUOTAI JUNAN ASSETS (ASIA) LIMITED | RO | Advising on securities | 2004-03-30 | RO | Asset management | 2020-11-16 | RO | Advising on securities | 2004-11-29 | 2020-11-16 | RO | Dealing in securities | 2009-09-23 | 2020-11-16 |
| 2 | GUOTAI JUNAN FUND MANAGEMENT LIMITED | RO | Asset management | 2008-05-29 | 2020-11-16 | RO | Advising on securities | 2011-08-04 | 2020-11-16 | RO | Dealing in securities | 2014-02-17 | 2020-09-30 |
| 3 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | RO | Advising on corporate finance | 2004-03-30 | RO | Asset management | 2004-03-30 | RO | Advising on securities | 2015-07-28 | RO | Dealing in securities | 2015-07-28 | RO | Advising on securities | 2019-01-04 | RO | Dealing in securities | 2019-01-04 |
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