Nip, Yiu Chuen 聶耀泉
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 | CSC FUTURES (HK) LIMITED | Rep | Advising on futures contracts | 2003-10-30 | Rep | Asset management | 2003-10-30 | Rep | Dealing in futures contracts | 2005-04-25 | RO | Dealing in futures contracts | 2005-04-25 | 2007-05-25 |
| 2 | CSC SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2003-12-15 | 2007-05-25 | RO | Dealing in futures contracts | 2005-04-25 | 2007-05-25 |
| 3 | FOUNDER ASSET MANAGEMENT (HONG KONG) LIMITED | RO | Asset management | 2021-02-25 | RO | Advising on securities | 2021-02-25 | 2021-04-30 |
| 4 | FOUNDER FUTURES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2021-02-25 | 2021-12-13 |
| 5 | FOUNDER SECURITIES (HONG KONG) LIMITED | RO | Advising on securities | 2021-02-25 | RO | Dealing in securities | 2021-02-25 |
| 6 | HGNH International Futures Co., Limited | RO | Dealing in futures contracts | 2007-06-26 | 2008-05-01 |
| 7 | SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED | RO | Asset management | 2011-08-01 | 2021-01-25 | RO | Advising on securities | 2016-07-18 | 2021-01-25 |
| 8 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2008-05-29 | 2008-08-26 | RO | Dealing in securities | 2008-08-26 | 2021-01-25 | RO | Advising on securities | 2010-02-23 | 2021-01-25 |
| 9 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2008-05-15 | 2008-05-29 | RO | Dealing in futures contracts | 2008-05-29 | 2021-01-25 |
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