Wai Shum Yeung
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Shum Yeung (楊惠深), a licensed Representative with CE reference APC729. Currently licensed at 1 firm(s): UBS Asset Management (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 18.8 years of SFC licence history. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2026-07-10 | present |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2026-07-10 | present |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2026-07-10 | present |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2020-11-25 | 2026-03-31 |
| Principal Asset Management Company (Asia) Limited 信安資金管理(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2020-11-25 | 2026-03-31 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 1 - Dealing in securities | 2017-01-18 | 2026-03-31 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 4 - Advising on securities | 2017-01-18 | 2026-03-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-02-24 | 2016-12-30 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 - Dealing in securities | 2011-02-24 | 2016-12-30 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2011-02-24 | 2016-12-30 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2011-02-24 | 2016-12-30 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2011-02-24 | 2016-12-30 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 - Asset management | 2011-02-24 | 2016-12-30 |
| JPMorgan Funds (Asia) Limited 摩根基金(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-08-20 | 2011-01-14 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2008-03-28 | 2008-07-25 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2007-08-01 | 2008-07-25 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wai Shum Yeung 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.