Rick Yik Yin Wong
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Rick Yik Yin Wong (王譯賢), a licensed Responsible Officer with CE reference AZU828. Currently licensed at 2 firm(s): Haitong International Securities Company Limited, Haitong International Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 13.9 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2026-01-12 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2026-01-12 | present |
| Haitong International Capital Limited 海通國際資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2026-01-12 | present |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2023-03-21 | 2025-12-24 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 1 - Dealing in securities | 2023-01-03 | 2025-12-24 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2023-01-03 | 2023-03-21 |
| CMBC International Capital Limited 民銀資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2018-07-09 | 2022-11-24 |
| CMBC International Capital Limited 民銀資本有限公司 |
Rep | Type 1 - Dealing in securities | 2018-01-19 | 2022-11-24 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-01-19 | 2022-11-24 |
| CMBC International Capital Limited 民銀資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-01-19 | 2018-07-09 |
| Haitong International Capital Limited 海通國際資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-07-03 | 2017-12-15 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Rick Yik Yin Wong 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.