Yiu, Pok Man 姚博文
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 | Basel Capital Limited | Rep | Advising on securities | 2020-08-24 | 2020-10-09 | Rep | Asset management | 2020-08-24 | 2020-10-09 | RO | Advising on securities | 2020-10-09 | RO | Asset management | 2020-10-09 |
| 2 | Beijing Securities Limited | Rep | Advising on corporate finance | 2009-10-30 | 2010-02-13 |
| 3 | Citigroup Global Markets Asia Limited | Rep | Advising on corporate finance | 2011-07-11 | 2013-08-30 | Rep | Dealing in securities | 2011-07-11 | 2013-08-30 |
| 4 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in securities | 2011-07-11 | 2012-01-31 |
| 5 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on corporate finance | 2010-02-23 | 2011-05-26 | Rep | Advising on securities | 2010-03-05 | 2011-05-26 | Rep | Dealing in securities | 2010-03-05 | 2011-05-26 |
| 6 | Merrill Lynch Far East Limited | Rep | Advising on corporate finance | 2010-02-23 | 2011-05-26 | Rep | Advising on securities | 2010-03-05 | 2011-05-26 | Rep | Dealing in securities | 2010-03-05 | 2011-05-26 |
| 7 | NOAH HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2014-10-08 | 2016-07-06 | Rep | Asset management | 2014-10-08 | 2016-07-06 | Rep | Dealing in securities | 2015-06-25 | 2016-07-06 | RO | Advising on securities | 2016-07-06 | 2017-02-28 | RO | Asset management | 2016-07-06 | 2017-02-28 | RO | Dealing in securities | 2016-07-06 | 2017-02-28 |
| 8 | ROYAL MORGAN FUND MANAGEMENT CO. LIMITED | RO | Advising on securities | 2017-09-27 | 2020-05-27 | RO | Asset management | 2017-09-27 | 2020-05-27 | RO | Dealing in securities | 2017-09-27 | 2020-05-27 |
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