Kai Yip Wan
溫啟業
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Yip Wan (溫啟業), CE reference AFO638. Currently licensed at 1 firm(s): Harris Fraser (International) Limited. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-05 | present |
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-08-05 | present |
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-05 | 2011-10-30 |
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 7 — Providing automated trading services | 2011-08-05 | 2011-08-30 |
| Pegasus Fund Managers Limited 東驥基金管理有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-08 | 2011-05-04 |
| Pegasus Fund Managers Limited 東驥基金管理有限公司 |
Rep | Type 9 — Asset management | 2006-08-14 | 2011-05-04 |
| Pegasus Fund Managers Limited 東驥基金管理有限公司 |
Rep | Type 4 — Advising on securities | 2003-04-30 | 2011-05-04 |
| Pegasus Fund Managers Limited 東驥基金管理有限公司 |
Rep | Type 9 — Asset management | 2003-04-30 | 2003-12-04 |