Ka Fat Yim
嚴家發
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Fat Yim (嚴家發), a licensed former licensee with CE reference AJC615. This person has 12.8 years of SFC licence history. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 6 - Advising on corporate finance | 2007-07-05 | 2018-09-01 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2005-12-29 | 2014-06-30 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 4 - Advising on securities | 2005-12-29 | 2014-06-30 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 5 - Advising on futures contracts | 2005-12-29 | 2014-06-30 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 9 - Asset management | 2005-12-29 | 2014-06-30 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2005-11-28 | 2018-09-01 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 4 - Advising on securities | 2005-11-28 | 2018-09-01 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 5 - Advising on futures contracts | 2005-11-28 | 2018-09-01 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 9 - Asset management | 2005-11-28 | 2018-09-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ka Fat Yim 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.