Fung Yim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Fung Yim (閻峰), a licensed Responsible Officer with CE reference AFP741. Currently licensed at 1 firm(s): Guotai Junan Securities (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 23.4 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2019-01-04 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2019-01-04 | present |
| Guotai Junan Fund Management Limited 國泰君安基金管理有限公司 |
RO | Type 1 - Dealing in securities | 2014-02-17 | 2020-09-30 |
| Guotai Junan Fund Management Limited 國泰君安基金管理有限公司 |
RO | Type 4 - Advising on securities | 2011-08-04 | 2020-11-16 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | 2009-09-23 | 2020-11-16 |
| Guotai Junan Fund Management Limited 國泰君安基金管理有限公司 |
RO | Type 9 - Asset management | 2008-05-29 | 2020-11-16 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
RO | Type 4 - Advising on securities | 2004-11-29 | 2020-11-16 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2015-07-28 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2015-07-28 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2004-03-30 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2004-03-30 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2020-11-16 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2004-03-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Fung Yim 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.