Yau, Patrick (SFC:AFT664) 尤必正
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 | CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Dealing in futures contracts | 2012-05-02 | 2014-01-23 |
| 2 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Dealing in securities | 2012-05-02 | 2019-02-13 | Rep | Advising on securities | 2014-03-25 | 2019-02-13 | Rep | Asset management | 2019-02-13 | 2020-03-30 | RO | Advising on securities | 2019-02-13 | 2020-03-30 | RO | Dealing in securities | 2019-02-13 | 2020-03-30 |
| 3 | Core Pacific - Yamaichi Asset Management Limited | Rep | Asset management | 2021-08-12 | 2022-01-05 | RO | Asset management | 2022-01-05 |
| 4 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2004-09-01 | 2012-04-21 | Rep | Advising on securities | 2021-08-12 | 2021-11-01 | Rep | Dealing in securities | 2021-08-12 | 2021-11-01 | RO | Advising on securities | 2021-11-01 | RO | Dealing in securities | 2021-11-01 |
| 5 | CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2011-08-10 | 2012-04-21 | Rep | Dealing in futures contracts | 2023-02-27 |
| 6 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2004-09-01 | 2012-04-21 |
| 7 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2003-12-23 | Rep | Advising on securities | 2003-12-23 | Rep | Asset management | 2003-12-23 | Rep | Dealing in securities | 2003-12-23 |
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