Nicole Shuk Kam Yuen
袁淑琴
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicole Shuk Kam Yuen (袁淑琴), a licensed former licensee with CE reference ACH708. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Optimas Capital Limited 中庸資本有限公司 |
Rep | Type 1 — Dealing in securities | 2020-10-19 | 2022-11-17 |
| Optimas Capital Limited 中庸資本有限公司 |
Rep | Type 4 — Advising on securities | 2020-10-19 | 2022-11-17 |
| Optimas Capital Limited 中庸資本有限公司 |
Rep | Type 9 — Asset management | 2020-10-19 | 2022-11-17 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2014-06-19 | 2017-11-18 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 — Advising on securities | 2014-06-19 | 2017-11-18 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-19 | 2014-06-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-07-19 | 2014-06-19 |
| UBS Securities Asia Limited | Rep | Type 4 — Advising on securities | 2007-06-15 | 2012-03-21 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2005-03-24 | 2012-03-21 |
| UBS Securities Asia Limited | RO | Type 1 — Dealing in securities | present | 2005-03-24 |
| UBS Securities Asia Limited | RO | Type 4 — Advising on securities | present | 2005-03-24 |
| UBS Securities Asia Limited | RO | Type 6 — Advising on corporate finance | present | 2005-02-04 |
| UBS Securities Asia Limited | RO | Type 9 — Asset management | present | 2005-02-04 |