Bernard Shui Sang Yu
余瑞生
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Bernard Shui Sang Yu (余瑞生), a licensed Responsible Officer with CE reference AEO855. Currently licensed at 3 firm(s): CNI Securities Group Limited, CNI Global Assets Management Limited, CNI Global Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 6 - Advising on corporate finance; Type 9 - Asset management. This person has 19.9 years of SFC licence history. Total licence records on file: 39.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CNI Securities Group Limited 中國北方證券集團有限公司 |
RO | Type 2 - Dealing in futures contracts | 2022-07-11 | present |
| CNI Securities Group Limited 中國北方證券集團有限公司 |
RO | Type 4 - Advising on securities | 2022-07-11 | present |
| CNI Securities Group Limited 中國北方證券集團有限公司 |
RO | Type 1 - Dealing in securities | 2022-05-04 | present |
| CNI Global Assets Management Limited 中國北方環球資產管理有限公司 |
RO | Type 9 - Asset management | 2022-05-04 | present |
| CNI Global Capital Limited 中國北方環球資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2022-02-10 | present |
| Giant Venture Asset Management Limited 嘉遠資產管理有限公司 |
Rep | Type 9 - Asset management | 2021-04-30 | 2021-07-09 |
| SDHG International Securities Limited 山高國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2020-11-25 | 2021-01-03 |
| SDHG International Asset Management Limited 山高國際資產管理有限公司 |
RO | Type 4 - Advising on securities | 2018-06-13 | 2021-01-03 |
| SDHG International Asset Management Limited 山高國際資產管理有限公司 |
RO | Type 5 - Advising on futures contracts | 2018-06-13 | 2021-01-03 |
| SDHG International Asset Management Limited 山高國際資產管理有限公司 |
RO | Type 6 - Advising on corporate finance | 2018-06-13 | 2021-01-03 |
| SDHG International Asset Management Limited 山高國際資產管理有限公司 |
RO | Type 9 - Asset management | 2018-06-13 | 2021-01-03 |
| SDHG International Asset Management Limited 山高國際資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2018-05-02 | 2018-06-13 |
| SDHG International Asset Management Limited 山高國際資產管理有限公司 |
Rep | Type 9 - Asset management | 2018-05-02 | 2018-06-13 |
| Glenworth Capital Limited | RO | Type 4 - Advising on securities | 2017-08-18 | 2018-02-01 |
| Glenworth Capital Limited | RO | Type 9 - Asset management | 2017-08-18 | 2018-02-01 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2017-03-21 | 2017-04-11 |
| Softech Investment Management Company Limited 軟庫亞科網投資管理有限公司 |
RO | Type 4 - Advising on securities | 2016-10-13 | 2017-01-16 |
| Softech Investment Management Company Limited 軟庫亞科網投資管理有限公司 |
RO | Type 9 - Asset management | 2016-10-13 | 2017-01-16 |
| Arta Asset Management Limited 裕承資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2015-04-02 | 2015-10-01 |
| Arta Asset Management Limited 裕承資產管理有限公司 |
RO | Type 4 - Advising on securities | 2015-04-02 | 2015-10-01 |
| Arta Asset Management Limited 裕承資產管理有限公司 |
RO | Type 9 - Asset management | 2014-10-24 | 2015-10-01 |
| Arta Asset Management Limited 裕承資產管理有限公司 |
Rep | Type 9 - Asset management | 2014-10-10 | 2014-10-24 |
| Golden Jade Capital Limited 金瑜融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-05-29 | 2014-08-29 |
| Tianda Securities Limited 天大証券有限公司 |
RO | Type 1 - Dealing in securities | 2014-01-27 | 2014-04-18 |
| Tianda Securities Limited 天大証券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2014-01-27 | 2014-04-18 |
| Tianda Asset Management Limited 天大資產管理有限公司 |
RO | Type 9 - Asset management | 2013-12-06 | 2014-04-18 |
| Tianda Securities Limited 天大証券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-09-30 | 2014-01-27 |
| Tianda Securities Limited 天大証券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-09-30 | 2014-01-27 |
| Tianda Asset Management Limited 天大資產管理有限公司 |
Rep | Type 9 - Asset management | 2013-09-30 | 2013-12-06 |
| Enlighten Securities Limited 名匯證券有限公司 |
RO | Type 1 - Dealing in securities | 2005-04-22 | 2013-09-02 |
| Enlighten Futures Limited 名匯期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2005-04-22 | 2013-09-02 |
| Enlighten Securities Limited 名匯證券有限公司 |
Rep | Type 1 - Dealing in securities | 2005-04-01 | 2005-04-22 |
| Enlighten Futures Limited 名匯期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-04-01 | 2005-04-22 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2005-01-25 | 2005-02-07 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-01-25 | 2005-02-07 |
| Realink Financial Trade Limited 滙信理財有限公司 |
RO | Type 1 - Dealing in securities | 2004-08-03 | 2004-10-06 |
| Realink Financial Trade Limited 滙信理財有限公司 |
RO | Type 2 - Dealing in futures contracts | 2004-08-03 | 2004-10-06 |
| Realink Financial Trade Limited 滙信理財有限公司 |
Rep | Type 1 - Dealing in securities | 2004-07-23 | 2004-08-03 |
| Ewarton Securities Limited 穎翔證券有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2004-07-15 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Bernard Shui Sang 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.