Yu, Ching Yat 于正一

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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 AJ Asset Management Limited Rep Asset management 2019-01-31
2 AJ Securities Limited Rep Dealing in securities 2018-03-09 2018-04-18
RO Dealing in securities 2018-04-18
RO Advising on securities 2018-07-20
3 DBS VICKERS (HONG KONG) LIMITED Rep Dealing in futures contracts 2004-08-09 2006-06-24
Rep Dealing in securities 2004-08-09 2006-06-24
4 HEAD & SHOULDERS ASSET MANAGEMENT LIMITED Rep Asset management 2015-12-07 2017-07-22
5 HEAD & SHOULDERS SECURITIES LIMITED Rep Dealing in securities 2014-01-10 2014-05-19
RO Dealing in securities 2014-05-19 2017-07-22
Rep Advising on securities 2014-07-14 2017-07-22
6 JIMEI SECURITIES LIMITED RO Dealing in securities 2017-08-21 2018-01-31
7 MAGIC COMPASS FUTURES LIMITED Rep Advising on futures contracts 2004-01-16
Rep Asset management 2004-01-16
Rep Dealing in futures contracts 2004-01-16
8 Polaris Capital (Asia) Limited Rep Dealing in securities 2004-01-19 2004-08-02
9 Prime Cdex Securities Limited Rep Advising on corporate finance 2004-01-16
Rep Advising on securities 2004-01-16
Rep Asset management 2004-01-16
Rep Dealing in securities 2004-01-16
10 RaffAello Securities (HK) Limited Rep Dealing in securities 2011-09-09 2011-10-31
11 SANFULL FUTURES LIMITED Rep Dealing in futures contracts 2012-07-16 2013-12-31
12 SANFULL SECURITIES LIMITED Rep Dealing in securities 2011-11-18 2013-12-31
13 Yuanta Asia Investment (Hong Kong) Limited Rep Dealing in futures contracts 2004-01-19 2004-08-02

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