Alice Zeng Yin
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alice Zeng Yin, a licensed former licensee with CE reference AGO921. This person has 3.4 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2006-09-11 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-04-27 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-04-27 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2004-04-27 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-04-27 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Alice Zeng Yin 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.