Kar Lai Yim
嚴嘉麗
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kar Lai Yim (嚴嘉麗), a licensed former licensee with CE reference AAJ442. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 - Dealing in securities | 2010-11-01 | 2017-01-16 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-11-01 | 2017-01-16 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 - Advising on securities | 2010-11-01 | 2017-01-16 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 - Advising on futures contracts | 2010-11-01 | 2017-01-16 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-09-30 | 2010-10-31 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 5 - Advising on futures contracts | 2005-09-30 | 2010-10-31 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 - Dealing in securities | present | 2010-10-31 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | present | 2005-10-04 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 4 - Advising on securities | present | 2004-05-17 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | present | 2004-05-17 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-05-17 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 9 - Asset management | present | 2004-05-17 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 9 - Asset management | present | 2004-05-17 |