Vernon Ka Leung Yu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Vernon Ka Leung Yu, a licensed former licensee with CE reference AEE209. This person has 9.5 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lazard Asset Management (Hong Kong) Limited | RO | Type 1 - Dealing in securities | 2014-08-18 | 2016-02-10 |
| Lazard Asset Management (Hong Kong) Limited | RO | Type 4 - Advising on securities | 2014-08-18 | 2016-02-10 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
RO | Type 4 - Advising on securities | 2006-06-16 | 2011-04-08 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
RO | Type 9 - Asset management | 2006-06-16 | 2011-04-08 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 1 - Dealing in securities | 2006-06-09 | 2011-04-08 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 5 - Advising on futures contracts | 2006-06-09 | 2011-04-08 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 - Advising on securities | 2005-01-19 | 2006-06-16 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 9 - Asset management | 2005-01-19 | 2006-06-16 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-01-19 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-05-05 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-01-19 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Vernon Ka Leung Yu 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. See the detailed formula.