Siu Kei Yim
嚴兆基
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Kei Yim (嚴兆基), a licensed Responsible Officer with CE reference AAJ966. Currently licensed at 1 firm(s): Success Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 23.6 years of SFC licence history. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Success Securities Limited 實德證券有限公司 |
RO | Type 1 - Dealing in securities | 2004-11-29 | present |
| Success Securities Limited 實德證券有限公司 |
RO | Type 4 - Advising on securities | 2004-11-29 | present |
| Success Securities Limited 實德證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2004-11-29 |
| Success Securities Limited 實德證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-07-12 |
| Success Securities Limited 實德證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-07-12 |
| Success Securities Limited 實德證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-07-12 |
| Success Futures and Foreign Exchange Limited 實德期貨及外滙有限公司 |
RO | Type 2 - Dealing in futures contracts | Pre-2003 | 2018-06-04 |
| Success Futures and Foreign Exchange Limited 實德期貨及外滙有限公司 |
RO | Type 5 - Advising on futures contracts | Pre-2003 | 2004-07-12 |
| Success Futures and Foreign Exchange Limited 實德期貨及外滙有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2004-07-12 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Siu Kei Yim 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.