Yen, Anna 嚴立恬
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 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2006-04-03 | 2008-03-14 | Rep | Advising on securities | 2006-04-03 | 2008-03-14 | Rep | Dealing in futures contracts | 2006-04-03 | 2008-03-14 | Rep | Dealing in securities | 2006-04-03 | 2008-03-14 |
| 2 | Leading Securities Company Limited | Rep | Advising on securities | 2016-05-10 | 2016-08-29 | Rep | Asset management | 2016-05-10 | 2016-08-29 | Rep | Dealing in securities | 2016-05-10 | 2016-08-29 |
| 3 | UBS DERIVATIVES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2010-06-28 | 2013-01-23 |
| 4 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2010-06-28 | 2013-01-23 | Rep | Dealing in securities | 2010-06-28 | 2013-01-23 |
| 5 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2010-06-28 | 2013-01-23 |
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