Fan, Yi (SFC:AUV739) 樊一
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 | Alpine Investment Management Limited | RO | Asset management | 2022-10-03 | |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2014-07-10 | 2016-07-16 | Rep | Dealing in securities | 2018-11-28 | 2022-03-16 |
| 3 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2010-03-19 | 2010-05-11 |
| 4 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2010-03-19 | 2010-05-11 |
| 5 | Hong Capital Partners Limited | RO | Asset management | 2018-06-08 | 2018-11-12 |
| 6 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2010-05-19 | 2014-03-22 |
| 7 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2010-05-19 | 2014-03-22 | Rep | Dealing in futures contracts | 2010-08-20 | 2014-03-22 |
| 8 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2010-05-19 | 2010-08-20 |
| 9 | Optimas Capital Limited | Rep | Asset management | 2016-10-27 | 2018-05-25 | RO | Advising on securities | 2017-08-04 | 2018-05-25 | RO | Dealing in securities | 2017-08-04 | 2018-05-25 |
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