Sam, Chi Yung 岑智勇
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 | Awaken Thunder Capital Limited | RO | Advising on securities | 2019-03-11 | 2019-12-31 | RO | Dealing in securities | 2019-03-11 | 2019-12-31 |
| 2 | DELTA ASIA FINANCIAL FUTURES LIMITED | Rep | Advising on futures contracts | 2013-07-16 | 2015-07-28 | RO | Advising on futures contracts | 2015-07-28 | 2016-03-11 |
| 3 | DELTA ASIA SECURITIES LIMITED | Rep | Advising on securities | 2013-07-16 | 2016-03-11 | Rep | Leveraged foreign exchange trading | 2016-02-23 | 2016-03-11 |
| 4 | Doo Financial HK Limited | Rep | Advising on securities | 2023-04-25 | 2023-06-16 | RO | Advising on securities | 2023-06-16 | 2023-10-25 |
| 5 | FIRST SHANGHAI FUTURES LIMITED | Rep | Advising on futures contracts | 2011-03-16 | 2013-05-24 |
| 6 | FIRST SHANGHAI SECURITIES LIMITED | Rep | Advising on securities | 2011-03-16 | 2013-05-24 |
| 7 | PATRONS SECURITIES LIMITED | Rep | Dealing in securities | 2020-10-06 | 2020-12-04 | RO | Dealing in securities | 2020-12-04 | 2023-04-18 | RO | Advising on securities | 2022-12-06 | 2023-04-18 |
| 8 | PEGASUS FUND MANAGERS LIMITED | Rep | Advising on securities | 2007-12-05 | 2008-08-12 |
| 9 | PLOTIO FOREX LIMITED | RO | Leveraged foreign exchange trading | 2022-03-21 | 2023-04-18 |
| 10 | South China Forex Limited | Rep | Leveraged foreign exchange trading | 2016-04-26 | 2018-10-31 |
| 11 | SOUTH CHINA RESEARCH LIMITED | Rep | Advising on securities | 2016-04-26 | 2016-07-05 | RO | Advising on securities | 2016-07-05 | 2018-10-31 |
| 12 | SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2016-09-14 | 2018-10-31 |
| 13 | Zero2IPO Securities Limited | Rep | Dealing in securities | 2020-01-24 | 2020-03-18 | RO | Dealing in securities | 2020-03-18 | 2020-08-31 |
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