Chi Wah Yiu
姚志華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Wah Yiu (姚志華), a licensed former licensee with CE reference ACT308. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HS Securities Limited 和升證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-05-14 | 2019-07-11 |
| AAA Securities Co. Limited |
RO | Type 1 — Dealing in securities | 2016-11-02 | 2017-05-31 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-06-28 | 2016-02-06 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-06-28 | 2016-02-06 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2012-06-14 | 2016-02-06 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | 2012-06-14 | 2016-02-06 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-12-16 | 2016-02-06 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2010-03-23 | 2013-08-01 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | 2008-07-14 | 2014-10-20 |
| Polaris Capital (Asia) Limited 寶來資本(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | 2007-07-19 | 2010-03-11 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-11-04 | 2011-12-16 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2004-07-07 | 2016-02-06 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2004-07-07 | 2007-08-01 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-02-18 | 2004-07-07 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-07-07 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-13 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-07-07 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-13 |