Tao Yan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tao Yan (嚴濤), a licensed Responsible Officer with CE reference BNY700. Currently licensed at 1 firm(s): Guosen Securities (HK) Brokerage Company, Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts. This person has 7.2 years of SFC licence history. Total licence records on file: 5.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
RO | Type 2 - Dealing in futures contracts | 2024-12-05 | present |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2023-06-14 | present |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2023-06-14 | 2024-12-05 |
| Central China International Securities Co., Limited 中州國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2019-01-11 | 2023-01-31 |
| Central China International Futures Company Limited 中州國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-01-11 | 2023-01-31 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tao Yan 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.