Ming Kuen Yim
嚴明娟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ming Kuen Yim (嚴明娟), a licensed former licensee with CE reference AAW371. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-04-08 | 2022-05-13 |
| CMB International Futures Limited 招銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2021-04-08 | 2022-05-13 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | present | 2021-03-05 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | present | 2021-03-05 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 - Advising on securities | present | 2003-09-24 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 5 - Advising on futures contracts | present | 2003-09-24 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2003-09-24 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 7 - Providing automated trading services | present | 2003-09-24 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 7 - Providing automated trading services | present | 2003-09-24 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 9 - Asset management | present | 2003-09-24 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 9 - Asset management | present | 2003-09-24 |