Yip, Sze Ki 葉士奇
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 | Halbis Capital Management (Hong Kong) Limited | RO | Advising on futures contracts | 2011-06-09 | 2011-12-31 | RO | Advising on securities | 2011-06-09 | 2011-12-31 | RO | Asset management | 2011-06-09 | 2011-12-31 | RO | Dealing in securities | 2011-06-09 | 2011-12-31 |
| 2 | HSBC Global Asset Management (Hong Kong) Limited | RO | Advising on futures contracts | 2010-07-26 | 2014-08-01 | RO | Advising on securities | 2010-07-26 | 2014-08-01 | RO | Asset management | 2010-07-26 | 2014-08-01 | RO | Dealing in securities | 2010-07-26 | 2014-08-01 | Rep | Advising on securities | 2020-12-22 | 2021-03-26 | Rep | Asset management | 2020-12-22 | 2021-03-26 | Rep | Dealing in securities | 2020-12-22 | 2021-03-26 | RO | Advising on securities | 2021-03-26 | 2022-10-10 | RO | Asset management | 2021-03-26 | 2022-10-10 | RO | Dealing in securities | 2021-03-26 | 2022-10-10 |
| 3 | HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Advising on futures contracts | 2011-05-04 | 2014-08-01 | RO | Advising on securities | 2011-06-09 | 2014-08-01 | RO | Asset management | 2011-06-09 | 2014-08-01 |
| 4 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | RO | Advising on futures contracts | 2011-05-04 | 2014-08-01 | RO | Advising on corporate finance | 2011-06-09 | 2014-08-01 | RO | Advising on securities | 2011-06-09 | 2014-08-01 | RO | Asset management | 2011-06-09 | 2014-08-01 | RO | Dealing in securities | 2011-06-09 | 2014-08-01 | Rep | Advising on securities | 2020-12-22 | 2021-03-26 | Rep | Asset management | 2020-12-22 | 2021-03-26 | Rep | Dealing in securities | 2020-12-22 | 2021-03-26 | RO | Advising on securities | 2021-03-26 | 2022-10-10 | RO | Asset management | 2021-03-26 | 2022-10-10 | RO | Dealing in securities | 2021-03-26 | 2022-10-10 |
| 5 | HSBC LIFE (INTERNATIONAL) LIMITED | Rep | Advising on securities | 2007-12-03 | 2008-10-01 |
| 6 | PARIBAS ASIA EQUITY LIMITED | Rep | Dealing in securities | 2006-07-21 | 2007-06-15 |
| 7 | SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED | RO | Advising on futures contracts | 2006-07-15 | RO | Advising on securities | 2006-07-15 | RO | Asset management | 2006-07-15 | RO | Advising on futures contracts | 2008-10-02 | 2011-08-31 | RO | Advising on securities | 2008-10-02 | 2011-08-31 | RO | Asset management | 2008-10-02 | 2011-08-31 | RO | Dealing in securities | 2008-10-02 | 2011-08-31 |
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