Kai Yang
楊凱
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Yang (楊凱), a licensed former licensee with CE reference ADW509. This person has 9.1 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2006-05-24 | 2013-04-05 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2006-05-24 | 2008-10-23 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-06-06 | 2006-05-16 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2005-06-06 | 2006-05-16 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2005-06-06 | 2006-05-16 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2004-07-01 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-07-01 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | Pre-2003 | 2004-07-01 |