Yiu, Tak Yin 姚得賢
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 | BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2011-06-08 | 2011-08-29 |
| 2 | BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2011-06-08 | 2011-08-29 |
| 3 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2011-03-31 | 2011-04-16 |
| 4 | Cheung On Securities Limited | Rep | Asset management | 2019-02-28 | 2019-11-27 | RO | Advising on securities | 2019-02-28 | 2020-04-20 | RO | Dealing in securities | 2019-02-28 | 2020-04-20 | RO | Asset management | 2019-11-27 | 2020-04-20 |
| 5 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2003-10-01 | Rep | Advising on securities | 2003-10-01 | Rep | Asset management | 2003-10-01 | Rep | Automated trading services | 2003-10-01 | Rep | Dealing in securities | 2003-10-01 |
| 6 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2003-10-01 | Rep | Advising on securities | 2003-10-01 | Rep | Asset management | 2003-10-01 | Rep | Automated trading services | 2003-10-01 | Rep | Dealing in securities | 2003-10-01 |
| 7 | DELTA ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2007-03-19 | 2009-07-01 |
| 8 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2011-03-03 | 2011-04-16 |
| 9 | FUHWA SECURITIES (HONG KONG) CO., LIMITED | Rep | Dealing in securities | 2003-10-20 | 2004-10-19 |
| 10 | FULBRIGHT SECURITIES LIMITED | Rep | Dealing in securities | 2010-06-28 | 2010-08-31 |
| 11 | Imperium International Asset Management Limited | RO | Advising on futures contracts | 2016-03-30 | 2018-07-12 |
| 12 | IMPERIUM INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2012-09-27 | 2015-08-20 | Rep | Dealing in futures contracts | 2012-12-24 | 2016-03-30 | RO | Advising on securities | 2015-08-20 | 2018-07-12 | RO | Dealing in securities | 2015-08-20 | 2018-07-12 | RO | Dealing in futures contracts | 2016-03-30 | 2018-07-12 |
| 13 | JIMEI SECURITIES LIMITED | Rep | Dealing in securities | 2009-07-02 | 2010-06-24 |
| 14 | Leeds Fund International Limited | RO | Advising on securities | 2022-05-12 | RO | Asset management | 2022-05-12 |
| 15 | Leeds Securities Investment Limited | Rep | Dealing in securities | 2022-05-12 | 2022-08-03 | RO | Dealing in securities | 2022-08-03 |
| 16 | LERTHAI Asset Management Limited | Rep | Advising on securities | 2018-07-26 | 2018-09-18 |
| 17 | LERTHAI Securities (Hong Kong) Limited | Rep | Dealing in futures contracts | 2018-07-26 | 2018-09-18 | Rep | Dealing in securities | 2018-07-26 | 2018-09-18 |
| 18 | MAGIC COMPASS ASSET MANAGEMENT LIMITED | RO | Asset management | 2020-06-09 | 2022-01-31 |
| 19 | MAGIC COMPASS FUTURES LIMITED | RO | Dealing in futures contracts | 2020-06-09 | 2022-01-31 | RO | Advising on futures contracts | 2021-08-12 | 2022-01-31 |
| 20 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-10-26 | 2005-03-07 |
| 21 | Prime Cdex Securities Limited | RO | Advising on securities | 2020-06-09 | 2022-01-31 | RO | Dealing in securities | 2020-06-09 | 2022-01-31 |
| 22 | QUEST STOCKBROKERS (HK) LIMITED | Rep | Dealing in securities | 2011-09-12 | 2012-08-04 |
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