Andrew Ye Yan Gu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Ye Yan Gu (顧燁彥), a licensed Responsible Officer with CE reference ALQ626. Currently licensed at 1 firm(s): Thornburg Investment Management (Asia) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 9 - Asset management. This person has 15.4 years of SFC licence history. Total licence records on file: 21.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Thornburg Investment Management (Asia) Limited 尚渤投資管理(亞洲)有限公司 |
RO | Type 9 - Asset management | 2022-09-30 | present |
| Thornburg Investment Management (Asia) Limited 尚渤投資管理(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | 2020-10-20 | present |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 9 - Asset management | 2017-09-15 | 2019-04-02 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-07-19 | 2019-04-02 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-07-19 | 2019-04-02 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 - Advising on securities | 2017-07-19 | 2019-04-02 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
Rep | Type 5 - Advising on futures contracts | 2017-07-19 | 2019-04-02 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-12-08 | 2017-05-12 |
| CTI Capital Hong Kong Limited 中信信惠國際資本(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-03-16 | 2015-10-12 |
| CTI Capital Hong Kong Limited 中信信惠國際資本(香港)有限公司 |
Rep | Type 9 - Asset management | 2015-03-16 | 2015-10-12 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-02-14 | 2013-05-07 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2013-02-14 | 2013-05-07 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-07-19 | 2013-05-07 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2008-07-14 | 2010-03-25 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | 2008-07-14 | 2010-03-25 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2008-06-18 | 2010-03-25 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2008-06-18 | 2010-03-25 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-04-30 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-03-12 | 2009-11-23 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-04-09 | 2008-02-29 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-02-01 | 2007-03-09 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Andrew Ye Yan Gu 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.