Ka Fai Yu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Fai Yu (余家輝), a licensed Responsible Officer with CE reference ACR614. Currently licensed at 2 firm(s): Guotai Junan Securities (Hong Kong) Limited, Guotai Junan Futures (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 19.7 years of SFC licence history. Total licence records on file: 26.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2021-04-09 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2019-02-19 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2019-02-19 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2019-02-19 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-11-15 | 2019-02-19 |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-11-15 | 2019-02-19 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-11-15 | 2019-02-19 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2017-04-07 | 2018-07-20 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2016-12-16 | 2018-07-20 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2016-12-16 | 2018-07-20 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2016-12-16 | 2018-07-20 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-11-07 | 2017-04-07 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-09-20 | 2016-12-16 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-09-20 | 2016-12-16 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2016-09-20 | 2016-12-16 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 4 - Advising on securities | 2014-01-20 | 2016-09-15 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2013-08-01 | 2016-09-15 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2013-08-01 | 2016-09-15 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2013-08-01 | 2016-09-15 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2013-04-16 | 2013-08-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-04-16 | 2013-08-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-04-16 | 2013-08-01 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 - Dealing in securities | 2010-11-20 | 2011-09-16 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-07-03 | 2011-09-16 |
| Daiwa Capital Markets Trading Hong Kong Limited 大和資本市場金融交易香港有限公司 |
Rep | Type 1 - Dealing in securities | 2005-10-17 | 2011-09-16 |
| KBC Financial Products Hong Kong Limited 比聯金融產品香港有限公司 |
Rep | Type 1 - Dealing in securities | 2005-01-17 | 2010-11-20 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ka Fai Yu during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.