Yu, Ka Fai 余家輝

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
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2021-04-09	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	RO	Dealing in futures contracts	2019-02-19	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2019-02-19	-
	RO	Dealing in securities	2019-02-19	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2018-11-15	2019-02-19
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2018-11-15	2019-02-19
	Rep	Dealing in securities	2018-11-15	2019-02-19
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Dealing in futures contracts	2017-04-07	2018-07-20
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	Dealing in futures contracts	2016-12-16	2018-07-20
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on securities	2016-12-16	2018-07-20
	RO	Dealing in securities	2016-12-16	2018-07-20
	Rep	Dealing in futures contracts	2016-11-07	2017-04-07
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Dealing in futures contracts	2016-09-20	2016-12-16
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on securities	2016-09-20	2016-12-16
	Rep	Dealing in securities	2016-09-20	2016-12-16
BOCI SECURITIES LIMITED	RO	Advising on securities	2014-01-20	2016-09-15
BOCI ASIA LIMITED	RO	Dealing in securities	2013-08-01	2016-09-15
BOCI SECURITIES LIMITED	RO	Dealing in futures contracts	2013-08-01	2016-09-15
	RO	Dealing in securities	2013-08-01	2016-09-15
BOCI ASIA LIMITED	Rep	Dealing in securities	2013-04-16	2013-08-01
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2013-04-16	2013-08-01
	Rep	Dealing in securities	2013-04-16	2013-08-01
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in securities	2010-11-20	2011-09-16
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	Rep	Dealing in futures contracts	2008-07-03	2011-09-16
	Rep	Dealing in securities	2005-10-17	2011-09-16
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	Rep	Dealing in securities	2005-01-17	2010-11-20

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.