Yip, Sammy Ka Tak 葉家德
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 | Cynosure Asset Management Hong Kong Limited | Rep | Advising on corporate finance | 2010-04-26 | 2010-07-09 | Rep | Advising on securities | 2010-04-26 | 2010-07-09 | Rep | Asset management | 2010-04-26 | 2010-07-09 | Rep | Dealing in securities | 2010-04-26 | 2010-07-09 | RO | Advising on corporate finance | 2010-07-09 | 2013-08-14 | RO | Advising on securities | 2010-07-09 | 2013-08-14 | RO | Asset management | 2010-07-09 | 2013-08-14 | RO | Dealing in securities | 2010-07-09 | 2013-08-14 |
| 2 | Funderstone Futures Limited | RO | Asset management | 2013-03-05 | 2013-08-14 |
| 3 | Funderstone Securities Limited | RO | Advising on securities | 2013-03-05 | 2013-08-14 | RO | Asset management | 2013-03-05 | 2013-08-14 |
| 4 | STATE STREET GLOBAL ADVISORS ASIA LIMITED | Rep | Advising on corporate finance | 2004-10-26 | Rep | Advising on futures contracts | 2006-02-07 | Rep | Advising on securities | 2006-02-07 | Rep | Asset management | 2006-02-07 | RO | Advising on futures contracts | 2006-02-07 | 2010-04-12 | RO | Advising on securities | 2006-02-07 | 2010-04-12 | RO | Asset management | 2006-02-07 | 2010-04-12 | Rep | Dealing in securities | 2006-09-04 | 2007-07-24 | Rep | Advising on corporate finance | 2007-07-24 | 2010-04-12 | RO | Dealing in securities | 2007-07-24 | 2010-04-12 |
| 5 | STATE STREET GLOBAL ADVISORS SINGAPORE LIMITED | Rep | Advising on securities | 2005-07-05 | 2006-02-07 | Rep | Asset management | 2005-07-05 | 2006-02-07 | RO | Advising on securities | 2006-02-07 | 2010-04-12 | RO | Asset management | 2006-02-07 | 2010-04-12 | Rep | Advising on corporate finance | 2007-07-24 | 2010-04-12 |
| 6 | UBS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2013-09-03 | 2015-06-24 | Rep | Asset management | 2013-09-03 | 2015-06-24 | Rep | Dealing in securities | 2013-09-03 | 2015-06-24 |
| 7 | Vanguard Investments Hong Kong Limited | Rep | Asset management | 2015-07-09 | 2015-09-24 | Rep | Advising on securities | 2015-07-09 | 2016-01-04 | Rep | Dealing in securities | 2015-07-09 | 2016-01-04 | RO | Asset management | 2015-09-24 | 2022-06-29 | RO | Advising on securities | 2016-01-04 | 2022-06-29 | RO | Dealing in securities | 2016-01-04 | 2022-06-29 | RO | Advising on corporate finance | 2016-11-22 | 2019-07-12 |
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