Yuen, Ka Leung 袁家樑
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 | AMTD Wealth Management Solutions Group Limited | Rep | Advising on securities | 2019-05-02 | 2019-06-04 | Rep | Dealing in securities | 2019-05-02 | 2019-06-04 | Rep | Asset management | 2019-05-02 | 2020-08-20 | RO | Advising on securities | 2019-06-04 | RO | Dealing in securities | 2019-06-04 | RO | Asset management | 2020-08-20 |
| 2 | FORTUNE (HK) SECURITIES LIMITED | Rep | Dealing in securities | 2011-01-03 | 2012-01-04 |
| 3 | Glory Sun Securities Limited | Rep | Advising on securities | 2017-05-05 | 2017-06-13 | Rep | Dealing in futures contracts | 2017-05-05 | 2017-06-13 | Rep | Dealing in securities | 2017-05-05 | 2017-06-13 | Rep | Asset management | 2017-05-05 | 2017-06-30 | RO | Advising on securities | 2017-06-13 | 2017-06-30 | RO | Dealing in futures contracts | 2017-06-13 | 2017-06-30 | RO | Dealing in securities | 2017-06-13 | 2017-06-30 |
| 4 | GUODU FUTURES (HONG KONG) LIMITED | RO | Advising on futures contracts | 2012-12-04 | 2015-07-01 | RO | Dealing in futures contracts | 2012-12-04 | 2015-07-01 |
| 5 | GUODU SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2013-03-05 | 2015-07-01 |
| 6 | GUOYUAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2012-03-21 | 2012-08-01 |
| 7 | GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED | Rep | Dealing in securities | 2012-03-21 | 2012-08-01 |
| 8 | orientiert International Markets Limited | Rep | Advising on securities | 2019-05-02 | 2019-06-04 | Rep | Dealing in securities | 2019-05-02 | 2019-06-04 | Rep | Asset management | 2019-05-02 | 2020-08-20 | RO | Advising on securities | 2019-06-04 | 2023-04-28 | RO | Dealing in securities | 2019-06-04 | 2023-04-28 | RO | Asset management | 2020-08-20 | 2023-04-28 |
| 9 | orientiert XYZ Securities Limited | Rep | Advising on securities | 2019-05-02 | 2019-06-04 | Rep | Dealing in securities | 2019-05-02 | 2019-06-04 | Rep | Asset management | 2019-05-02 | 2020-08-20 | RO | Advising on securities | 2019-06-04 | 2023-04-28 | RO | Dealing in futures contracts | 2019-06-04 | 2023-04-28 | RO | Dealing in securities | 2019-06-04 | 2023-04-28 | RO | Asset management | 2020-08-20 | 2023-04-28 |
| 10 | SINO CAPITAL SECURITIES LIMITED | Rep | Dealing in securities | 2007-08-01 | 2011-01-03 |
| 11 | TAT LEE SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2006-10-25 | 2007-07-21 |
| 12 | United Securities Limited (HK) | Rep | Advising on securities | 2017-09-07 | 2017-09-20 | Rep | Dealing in securities | 2017-09-07 | 2017-09-20 | RO | Advising on securities | 2017-09-20 | 2019-03-31 | RO | Dealing in securities | 2017-09-20 | 2019-03-31 | Rep | Asset management | 2018-03-12 | 2019-03-31 |
| 13 | Well Link International Securities Limited | Rep | Dealing in futures contracts | 2007-11-19 | 2011-11-21 | RO | Dealing in futures contracts | 2011-11-21 | 2012-01-04 |
| 14 | YUE XIU ASSET MANAGEMENT LIMITED | Rep | Asset management | 2017-03-14 | 2017-04-07 |
| 15 | YUE XIU FUTURES COMPANY LIMITED | Rep | Advising on futures contracts | 2015-11-06 | 2015-12-09 | Rep | Dealing in futures contracts | 2015-11-06 | 2015-12-09 | RO | Advising on futures contracts | 2015-12-09 | 2017-04-07 | RO | Dealing in futures contracts | 2015-12-09 | 2017-04-07 |
| 16 | YUE XIU SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2015-11-06 | 2017-04-07 |
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