Yen, Charlotte Sau Fan 任秀芬
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 | First Prosperous Capital Company Limited | RO | Advising on corporate finance | 2019-03-11 | 2020-09-30 | RO | Dealing in securities | 2019-03-11 | 2020-09-30 |
| 2 | KPMG CORPORATE FINANCE LIMITED | RO | Advising on corporate finance | 2006-06-03 | 2008-04-19 |
| 3 | RED SUN CAPITAL LIMITED | Rep | Advising on corporate finance | 2020-10-09 | 2020-11-10 | Rep | Dealing in securities | 2020-10-09 | 2020-11-10 | RO | Advising on corporate finance | 2020-11-10 | 2021-06-30 | RO | Dealing in securities | 2020-11-10 | 2021-06-30 |
| 4 | RHB CAPITAL HONG KONG LIMITED | Rep | Advising on corporate finance | 2008-05-02 | 2008-07-15 | RO | Advising on corporate finance | 2008-07-15 | 2011-10-15 | RO | Dealing in securities | 2008-07-15 | 2011-10-15 |
| 5 | Yunfeng Financial Markets Limited | Rep | Advising on corporate finance | 2011-11-29 | 2012-03-06 | Rep | Dealing in securities | 2011-11-29 | 2012-03-06 | RO | Advising on corporate finance | 2012-03-06 | 2019-01-01 | RO | Dealing in securities | 2012-03-06 | 2019-01-01 |
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