Yim, Joyce Ka Yee 嚴嘉怡
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 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2005-04-14 | 2006-09-13 |
| 2 | Credit Suisse Securities (Hong Kong) Limited | Rep | Automated trading services | 2003-08-22 | Rep | Advising on corporate finance | 2005-02-15 | Rep | Advising on securities | 2005-02-15 | Rep | Asset management | 2005-02-15 | Rep | Dealing in securities | 2006-09-13 |
| 3 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in securities | 2006-09-22 | 2008-02-28 |
| 4 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2008-03-27 | 2018-09-28 | Rep | Automated trading services | 2008-05-02 | 2013-09-05 |
| 5 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2008-05-02 | 2010-12-06 | Rep | Dealing in futures contracts | 2008-05-02 | 2010-12-06 |
| 6 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2008-03-27 | 2010-01-08 | Rep | Dealing in futures contracts | 2010-12-06 | 2018-09-28 |
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