Yao, Jack Hsin-Chou 姚信州
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 INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED | Rep | Asset management | 2014-07-28 | 2018-10-03 |
2 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED | Rep | Dealing in futures contracts | 2012-10-18 | 2019-11-21 |
3 | CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED | Rep | Dealing in securities | 2012-10-18 | 2019-11-21 | RO | Leveraged foreign exchange trading | 2014-12-17 | 2016-05-23 |
4 | CICC US Securities (Hong Kong) Limited | Rep | Dealing in securities | 2012-11-28 | 2019-11-21 |
5 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2019-12-18 | 2020-10-12 |
6 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2019-12-18 | 2020-10-12 |
7 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2021-01-05 | Rep | Dealing in futures contracts | 2021-01-05 | Rep | Dealing in securities | 2021-01-05 | 2022-01-06 | RO | Dealing in securities | 2022-01-06 |
8 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in futures contracts | 2007-09-14 | 2008-09-29 | Rep | Dealing in securities | 2007-09-14 | 2008-09-29 |
9 | LEHMAN BROTHERS SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2007-09-14 | 2008-09-29 |
10 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2008-12-08 | 2010-02-19 |
11 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-10-10 | 2012-08-18 | Rep | Dealing in securities | 2008-10-10 | 2012-08-18 |
12 | NOMURA SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-12-08 | 2012-08-18 | Rep | Dealing in futures contracts | 2010-02-03 | 2012-08-18 |
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