James Chun Man Yu
余鎮民
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Chun Man Yu (余鎮民), CE reference AET445. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Logic Global Assets Management Limited 邏輯環球資產管理有限公司 |
RO | Type 9 — Asset management | 2022-12-01 | 2023-07-31 |
| Alpine Securities Limited 高山證券有限公司 |
RO | Type 1 — Dealing in securities | 2022-08-05 | 2022-11-30 |
| Alpine Securities Limited 高山證券有限公司 |
RO | Type 4 — Advising on securities | 2022-08-05 | 2022-11-30 |
| SBI China Capital Asset Management Limited 軟庫中華金融資產管理有限公司 |
RO | Type 9 — Asset management | 2021-07-22 | 2022-05-06 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 9 — Asset management | 2021-07-22 | 2022-05-06 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 1 — Dealing in securities | 2021-05-03 | 2022-05-06 |
| SBI China Capital Asset Management Limited 軟庫中華金融資產管理有限公司 |
RO | Type 4 — Advising on securities | 2021-05-03 | 2022-05-06 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 4 — Advising on securities | 2021-05-03 | 2022-05-06 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2021-04-28 | 2021-05-03 |
| SBI China Capital Asset Management Limited 軟庫中華金融資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-04-28 | 2021-05-03 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 4 — Advising on securities | 2021-04-28 | 2021-05-03 |
| A.H. International Limited |
RO | Type 1 — Dealing in securities | 2007-03-13 | 2020-11-22 |
| A.H. International Limited |
RO | Type 4 — Advising on securities | 2006-07-03 | 2020-11-22 |
| Tisco Securities Hong Kong Limited 得士可證券香港有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-05-17 |
| Tisco Securities Hong Kong Limited 得士可證券香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-11 |
| Tisco Securities Hong Kong Limited 得士可證券香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-11 |
| Tisco Securities Hong Kong Limited 得士可證券香港有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-11 |