Caroline Yuen
袁麗斯
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Caroline Yuen (袁麗斯), a licensed former licensee with CE reference BIN528. This person has 4.1 years of SFC licence history. Total licence records on file: 3.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2019-11-08 | 2021-01-21 |
| China Galaxy International Securities (Hong Kong) Co., Limited 中國銀河國際證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-12-02 | 2019-10-11 |
| China Galaxy International Futures (Hong Kong) Co., Limited 中國銀河國際期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-12-02 | 2019-10-11 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Caroline Yuen 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.