Yip, Kai Chi (SFC:AEK796) 葉啟志
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 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2008-05-30 | 2011-06-09 |
| 2 | CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2008-08-26 | 2011-06-09 |
| 3 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2008-05-30 | 2011-06-09 |
| 4 | Huarong International Securities Limited | Rep | Dealing in futures contracts | 2015-09-17 | 2022-08-04 | Rep | Dealing in securities | 2015-09-17 | 2024-03-01 | Rep | Advising on securities | 2021-04-19 | 2024-03-01 |
| 5 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2007-09-19 | 2008-05-29 |
| 6 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Advising on futures contracts | 2004-02-27 | Rep | Asset management | 2004-02-27 | Rep | Dealing in futures contracts | 2008-05-29 |
| 7 | STOCKWELL COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2012-06-01 | 2015-09-14 |
| 8 | STOCKWELL SECURITIES LIMITED | Rep | Dealing in securities | 2011-06-30 | 2015-09-14 |
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