Yue, Pui Lam 余佩琳

Key Data Licences & registrations Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Advising on securities	2021-09-08	-
	Rep	Dealing in securities	2021-09-08	-
GEO Securities Limited	RO	Advising on securities	2017-12-21	2018-08-24
	RO	Dealing in securities	2017-12-21	2018-08-24
	Rep	Advising on securities	2017-10-18	2017-12-21
	Rep	Dealing in securities	2017-10-18	2017-12-21
KuCoin Commodity Futures Limited	Rep	Dealing in futures contracts	2016-11-01	2017-09-13
KuCoin HK Limited	Rep	Advising on securities	2016-08-24	2017-09-13
	Rep	Dealing in securities	2016-07-22	2017-09-13
YUE XIU FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2015-01-07	2015-04-06
YUE XIU SECURITIES COMPANY LIMITED	Rep	Advising on securities	2015-01-07	2015-04-06
	Rep	Dealing in futures contracts	2015-01-07	2015-04-06
	Rep	Dealing in securities	2015-01-07	2015-04-06
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in futures contracts	2014-02-21	2014-05-31
	Rep	Advising on securities	2013-12-17	2014-05-31
	Rep	Dealing in securities	2013-12-17	2014-05-31
ABCI Securities Company Limited	Rep	Advising on securities	2013-02-19	2013-08-03
	Rep	Dealing in securities	2011-09-09	2013-08-03
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in securities	2009-09-03	2011-09-01
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	Dealing in futures contracts	2009-09-03	2011-09-01
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	Dealing in futures contracts	2006-12-11	2008-09-02
	Rep	Dealing in securities	2006-11-01	2008-09-02
SBI China Capital Securities Limited	Rep	Dealing in securities	2006-05-22	2006-08-14
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2004-04-01	2005-03-10
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	Dealing in securities	2004-04-01	2005-03-10

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.