Anne Yu See
施柔安
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Anne Yu See (施柔安), a licensed former licensee with CE reference AYK922. This person has 7.3 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2017-10-03 | 2019-06-13 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2017-10-03 | 2019-06-13 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2014-05-23 | 2017-10-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2014-05-23 | 2017-10-02 |
| Leading Securities Company Limited 立鼎證券有限公司 |
RO | Type 1 - Dealing in securities | 2014-03-27 | 2014-04-17 |
| Leading Securities Company Limited 立鼎證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-01-14 | 2014-03-27 |
| Leading Securities Company Limited 立鼎證券有限公司 |
Rep | Type 4 - Advising on securities | 2014-01-14 | 2014-04-17 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 4 - Advising on securities | 2012-12-24 | 2013-11-02 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 - Dealing in securities | 2011-11-14 | 2013-11-02 |
Worked alongside
The 6 closest colleagues, strongest tie first — individuals licensed at the same firm as Anne Yu See 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.