Winnie Wing Man Yau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Winnie Wing Man Yau (尤頴敏), a licensed Responsible Officer with CE reference ADO404. Currently licensed at 1 firm(s): Pulsar Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 22.2 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Pulsar Capital Limited 脈搏資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2020-06-08 | present |
| Pulsar Capital Limited 脈搏資本有限公司 |
Rep | Type 1 - Dealing in securities | 2020-02-19 | present |
| Pulsar Capital Limited 脈搏資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2020-02-19 | 2020-06-08 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2015-03-27 | 2019-06-26 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 1 - Dealing in securities | 2015-03-19 | 2019-06-26 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-03-19 | 2015-03-27 |
| SDIC Securities (Hong Kong) Limited 國投證券（香港）有限公司 |
Rep | Type 1 - Dealing in securities | 2011-08-22 | 2015-02-16 |
| SDIC Securities Corporate Finance (Hong Kong) Limited 國投證券融資（香港）有限公司 |
RO | Type 6 - Advising on corporate finance | 2010-09-01 | 2015-02-16 |
| JW Capital Securities Limited 君威資本證券有限公司 |
RO | Type 6 - Advising on corporate finance | 2009-08-24 | 2010-04-12 |
| JW Capital Securities Limited 君威資本證券有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-07-20 | 2009-08-24 |
| CSC Asia Limited 群益亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2004-10-08 | 2009-06-30 |
| CSC Asia Limited 群益亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-03-30 |
| CSC Asia Limited 群益亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-10-08 |
| CSC Asia Limited 群益亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-03-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Winnie Wing Man Yau 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.