Yeung, Shu Fan 楊樹勳
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 | THOMAS GLOBAL FINANCIAL SERVICES LIMITED | Rep | Dealing in securities | 2016-11-09 | 2017-01-05 | RO | Dealing in securities | 2017-01-05 | 2017-11-10 |
| 2 | SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2021-05-24 | 2021-07-14 |
| 3 | South China Investment Management Limited | Rep | Asset management | 2021-05-24 | 2021-07-14 |
| 4 | SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2021-05-24 | 2021-07-14 |
| 5 | SHENYIN WANGUO ONLINE BROKER (H.K.) LIMITED | RO | Dealing in securities | 2007-11-27 | 2014-04-28 |
| 6 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2003-06-05 | Rep | Advising on securities | 2003-06-05 | Rep | Asset management | 2003-06-05 | Rep | Automated trading services | 2003-06-24 | Rep | Dealing in securities | 2003-06-24 | RO | Automated trading services | 2003-06-24 | 2003-09-11 | RO | Dealing in securities | 2003-06-24 | 2003-10-03 | Rep | Dealing in securities | 2007-10-29 | 2007-11-27 | RO | Dealing in securities | 2007-11-27 | 2016-10-20 |
| 7 | SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED | RO | Advising on securities | 2008-06-30 | 2013-07-09 |
| 8 | SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | 2003-06-05 | Rep | Asset management | 2003-06-05 | Rep | Dealing in futures contracts | 2003-06-24 | RO | Dealing in futures contracts | 2003-06-24 | 2003-10-03 | Rep | Dealing in futures contracts | 2007-10-29 | 2007-11-27 | RO | Dealing in futures contracts | 2007-11-27 | 2016-10-20 |
| 9 | SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED | RO | Advising on securities | 2008-09-05 | 2016-10-20 | RO | Asset management | 2008-09-05 | 2016-10-20 |
| 10 | Quam Securities Limited | Rep | Advising on securities | 2019-04-23 | 2019-08-09 | Rep | Dealing in futures contracts | 2019-04-23 | 2019-08-09 | Rep | Dealing in securities | 2019-04-23 | 2019-08-09 | RO | Advising on corporate finance | 2019-08-09 | 2020-11-13 | RO | Advising on securities | 2019-08-09 | 2021-05-09 | RO | Asset management | 2019-08-09 | 2021-05-09 | RO | Dealing in futures contracts | 2019-08-09 | 2021-05-09 | RO | Dealing in securities | 2019-08-09 | 2021-05-09 |
| 11 | PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2003-10-07 | 2003-11-05 | RO | Dealing in securities | 2003-11-05 | 2007-10-06 | RO | Advising on securities | 2004-03-23 | 2007-10-06 |
| 12 | PIPER JAFFRAY ASIA FUTURES LIMITED | RO | Dealing in futures contracts | 2004-03-23 | 2007-10-06 |
| 13 | Mason Securities Limited | Rep | Advising on securities | 2016-11-09 | 2017-01-05 | Rep | Asset management | 2016-11-09 | 2017-01-05 | Rep | Dealing in securities | 2016-11-09 | 2017-01-05 | RO | Advising on securities | 2017-01-05 | 2017-11-10 | RO | Asset management | 2017-01-05 | 2017-11-10 | RO | Dealing in securities | 2017-01-05 | 2017-11-10 |
| 14 | MASON INVESTMENT MANAGEMENT LIMITED | Rep | Advising on securities | 2016-11-09 | 2017-01-05 | Rep | Asset management | 2016-11-09 | 2017-01-05 | RO | Advising on securities | 2017-01-05 | 2017-11-10 | RO | Asset management | 2017-01-05 | 2017-11-10 |
| 15 | Mason Futures Limited (HK) | Rep | Dealing in futures contracts | 2016-11-09 | 2017-01-05 | RO | Dealing in futures contracts | 2017-01-05 | 2017-11-10 |
| 16 | China Galaxy International Securities (Hong Kong) Co., Limited | Rep | Advising on securities | 2018-01-15 | 2018-02-27 | Rep | Dealing in securities | 2018-01-15 | 2018-02-27 | RO | Advising on securities | 2018-02-27 | 2019-03-31 | RO | Dealing in securities | 2018-02-27 | 2019-03-31 |
| 17 | China Galaxy International Futures (Hong Kong) Co., Limited | Rep | Dealing in futures contracts | 2018-01-15 | 2018-02-27 | RO | Dealing in futures contracts | 2018-02-27 | 2019-03-31 |
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