Yim, Ka Fat 嚴家發
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 | BOCI ASSET MANAGEMENT LIMITED | RO | Advising on futures contracts | 2005-12-29 | 2014-06-30 | RO | Advising on securities | 2005-12-29 | 2014-06-30 | RO | Asset management | 2005-12-29 | 2014-06-30 | RO | Dealing in securities | 2005-12-29 | 2014-06-30 |
| 2 | BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED | RO | Advising on futures contracts | 2005-11-28 | 2018-09-01 | RO | Advising on securities | 2005-11-28 | 2018-09-01 | RO | Asset management | 2005-11-28 | 2018-09-01 | RO | Dealing in securities | 2005-11-28 | 2018-09-01 | RO | Advising on corporate finance | 2007-07-05 | 2018-09-01 |
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