Personnel Hong Kong SFC License Details (ID 93903)

Key Data SFC Licenses 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
YF ASSET MANAGEMENT LIMITED	RO	Advising on futures contracts	2019-02-12	-
YF FUTURES COMPANY LIMITED	RO	Dealing in futures contracts	2019-02-12	-
YF ASSET MANAGEMENT LIMITED	Rep	Advising on futures contracts	2018-08-13	2019-02-12
YF FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2018-08-13	2019-02-12
YF ASSET MANAGEMENT LIMITED	RO	Advising on securities	2018-04-03	-
	RO	Asset management	2018-04-03	-
YF SECURITIES COMPANY LIMITED	RO	Dealing in securities	2018-04-03	-
YF ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2018-03-05	2018-04-03
	Rep	Asset management	2018-03-05	2018-04-03
YF SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2018-03-05	2018-04-03
DaoKou Securities Limited	RO	Dealing in securities	2017-07-07	2018-02-28
DaoKou Asset Management Limited	RO	Advising on securities	2016-10-03	2018-02-28
	RO	Asset management	2016-09-14	2018-02-28
SINOMAX SECURITIES LIMITED	RO	Advising on securities	2016-08-19	2016-08-19
	RO	Asset management	2016-08-19	2016-08-19
	RO	Dealing in securities	2016-08-19	2016-08-19
	Rep	Dealing in securities	2015-11-25	2016-08-19
HARMONY ASSET MANAGEMENT LIMITED	Rep	Asset management	2014-10-17	2015-09-21
YF ASSET MANAGEMENT LIMITED	RO	Asset management	2013-04-16	2014-04-15
YF FUTURES COMPANY LIMITED	Rep	Dealing in futures contracts	2013-04-16	2014-04-15
YF SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2013-04-16	2014-04-15
SBI China Capital Commodities Limited	RO	Asset management	2009-05-15	2013-02-28
	Rep	Asset management	2009-03-05	2009-05-15
	Rep	Dealing in futures contracts	2009-03-05	2013-02-28
SBI China Capital Financial Services Limited	Rep	Asset management	2009-03-05	2013-03-21
	Rep	Dealing in securities	2009-03-05	2013-03-21
SBI China Capital Securities Limited	Rep	Asset management	2009-03-05	2011-09-30
	Rep	Dealing in securities	2009-03-05	2011-09-30
SBI China Capital Financial Services Limited	Rep	Asset management	2008-09-23	2009-02-13
	Rep	Dealing in securities	2008-09-23	2009-02-13
SBI China Capital Commodities Limited	Rep	Dealing in futures contracts	2008-01-31	2009-02-13
	RO	Dealing in futures contracts	2007-07-12	2008-01-12
	RO	Asset management	2007-07-12	2009-02-13
	Rep	Advising on futures contracts	2003-04-01	2003-07-16
	Rep	Asset management	2003-04-01	2007-07-12
	Rep	Dealing in futures contracts	2003-04-01	2007-07-12
SBI China Capital Securities Limited	Rep	Advising on corporate finance	2003-04-01	2003-07-16
	Rep	Advising on securities	2003-04-01	2003-07-16
	Rep	Asset management	2003-04-01	2009-02-13
	Rep	Dealing in securities	2003-04-01	2009-02-13