Yau, Karen Kar Man 尤嘉敏
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 | Apricot Capital (Hong Kong) Limited | RO | Dealing in securities | 2018-11-12 | 2021-06-12 |
| 2 | Guosen Securities (HK) Brokerage Company, Limited | Rep | Advising on securities | 2014-08-21 | 2015-09-16 | Rep | Dealing in securities | 2014-08-21 | 2015-09-16 |
| 3 | GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED | Rep | Advising on corporate finance | 2014-01-23 | 2015-09-16 | Rep | Dealing in securities | 2014-01-23 | 2015-09-16 |
| 4 | INNOVAX CAPITAL LIMITED | Rep | Dealing in securities | 2021-11-23 | 2022-01-21 | Rep | Advising on corporate finance | 2021-11-23 | 2022-02-11 | RO | Dealing in securities | 2022-01-21 | 2022-02-11 |
| 5 | KGI CAPITAL ASIA LIMITED | Rep | Dealing in securities | 2015-10-20 | 2016-03-01 | Rep | Advising on corporate finance | 2015-10-20 | 2018-09-26 | RO | Dealing in securities | 2016-03-01 | 2018-09-26 |
| 6 | MEGA CAPITAL (ASIA) COMPANY LIMITED | Rep | Advising on corporate finance | 2005-09-30 | Rep | Dealing in securities | 2004-07-28 | 2005-09-30 |
| 7 | VC BROKERAGE LIMITED | Rep | Dealing in securities | 2005-09-30 | 2014-01-09 |
| 8 | VC CAPITAL LIMITED | Rep | Advising on corporate finance | 2005-09-30 | 2014-01-09 |
| 9 | WRise Capital Limited | Rep | Advising on corporate finance | 2018-11-12 | 2021-06-12 |
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