Yao, Jack Hsin-Chou 姚信州

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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 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED Rep Asset management 2014-07-28 2018-10-03
2 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED Rep Dealing in futures contracts 2012-10-18 2019-11-21
3 CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED Rep Dealing in securities 2012-10-18 2019-11-21
RO Leveraged foreign exchange trading 2014-12-17 2016-05-23
4 CICC US Securities (Hong Kong) Limited Rep Dealing in securities 2012-11-28 2019-11-21
5 HAITONG INTERNATIONAL FUTURES LIMITED Rep Dealing in futures contracts 2019-12-18 2020-10-12
6 HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED Rep Dealing in securities 2019-12-18 2020-10-12
7 HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED Rep Advising on securities 2021-01-05
Rep Dealing in futures contracts 2021-01-05
Rep Dealing in securities 2021-01-05 2022-01-06
RO Dealing in securities 2022-01-06
8 LEHMAN BROTHERS ASIA LIMITED Rep Dealing in futures contracts 2007-09-14 2008-09-29
Rep Dealing in securities 2007-09-14 2008-09-29
9 LEHMAN BROTHERS SECURITIES ASIA LIMITED Rep Dealing in securities 2007-09-14 2008-09-29
10 Nomura Asia Investment (Hong Kong) Limited Rep Dealing in futures contracts 2008-12-08 2010-02-19
11 NOMURA INTERNATIONAL (HONG KONG) LIMITED Rep Dealing in futures contracts 2008-10-10 2012-08-18
Rep Dealing in securities 2008-10-10 2012-08-18
12 NOMURA SECURITIES (HONG KONG) LIMITED Rep Dealing in securities 2008-12-08 2012-08-18
Rep Dealing in futures contracts 2010-02-03 2012-08-18

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