Yue, Pui Lam 余佩琳
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 | ABCI Securities Company Limited | Rep | Dealing in securities | 2011-09-09 | 2013-08-03 | Rep | Advising on securities | 2013-02-19 | 2013-08-03 |
| 2 | GEO Securities Limited | Rep | Advising on securities | 2017-10-18 | 2017-12-21 | Rep | Dealing in securities | 2017-10-18 | 2017-12-21 | RO | Advising on securities | 2017-12-21 | 2018-08-24 | RO | Dealing in securities | 2017-12-21 | 2018-08-24 |
| 3 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | Dealing in securities | 2006-11-01 | 2008-09-02 | Rep | Dealing in futures contracts | 2006-12-11 | 2008-09-02 | Rep | Advising on securities | 2013-12-17 | 2014-05-31 | Rep | Dealing in securities | 2013-12-17 | 2014-05-31 | Rep | Dealing in futures contracts | 2014-02-21 | 2014-05-31 | Rep | Advising on securities | 2021-09-08 | Rep | Dealing in securities | 2021-09-08 |
| 4 | Prime Cdex Futures Limited | Rep | Dealing in futures contracts | 2016-11-01 | 2017-09-13 |
| 5 | Prime Cdex Securities Limited | Rep | Dealing in securities | 2016-07-22 | 2017-09-13 | Rep | Advising on securities | 2016-08-24 | 2017-09-13 |
| 6 | SBI China Capital Securities Limited | Rep | Dealing in securities | 2006-05-22 | 2006-08-14 |
| 7 | SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2004-04-01 | 2005-03-10 |
| 8 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2004-04-01 | 2005-03-10 |
| 9 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2009-09-03 | 2011-09-01 |
| 10 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-09-03 | 2011-09-01 |
| 11 | YUE XIU FUTURES COMPANY LIMITED | Rep | Dealing in futures contracts | 2015-01-07 | 2015-04-06 |
| 12 | YUE XIU SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2015-01-07 | 2015-04-06 | Rep | Dealing in futures contracts | 2015-01-07 | 2015-04-06 | Rep | Dealing in securities | 2015-01-07 | 2015-04-06 |
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