Chen, Ping Yu 陳品妤
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 | AISANCE ASSET MANAGEMENT LIMITED | Rep | Asset management | 2009-12-22 | 2013-02-21 |
| 2 | CATHAY SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2015-08-07 | 2015-08-10 | Rep | Dealing in securities | 2015-08-07 | 2015-08-10 | RO | Advising on securities | 2015-08-10 | 2016-10-29 | RO | Dealing in securities | 2015-08-10 | 2016-10-29 |
| 3 | KGI ASIA LIMITED | Rep | Dealing in securities | 2009-09-07 | 2010-07-30 | RO | Advising on securities | 2010-07-30 | 2015-06-01 | RO | Dealing in securities | 2010-07-30 | 2015-06-01 |
| 4 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2009-09-07 | 2015-06-01 |
| 5 | KGI SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2009-09-07 | 2010-08-19 | RO | Dealing in securities | 2010-08-19 | 2015-06-01 |
| 6 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | Rep | Advising on securities | 2006-10-27 | 2008-03-14 | Rep | Dealing in securities | 2006-10-27 | 2008-03-14 | RO | Advising on securities | 2012-12-03 | 2015-06-01 | RO | Dealing in securities | 2012-12-03 | 2015-06-01 |
| 7 | QMIS Securities Limited | RO | Dealing in securities | 2009-07-24 | 2009-08-17 |
| 8 | Yuanta Securities (Hong Kong) Company Limited | Rep | Advising on securities | 2016-11-07 | 2016-12-22 | Rep | Dealing in securities | 2016-11-07 | 2016-12-22 | RO | Advising on securities | 2016-12-22 | RO | Dealing in securities | 2016-12-22 |
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