Yau Wah Shiu
蕭猷華
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yau Wah Shiu (蕭猷華), CE reference AFP821. Currently licensed at 2 firm(s): Prudential Brokerage Limited, Prudential Index Trading Company Limited. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-10-21 | present |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2020-10-21 | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 4 — Advising on securities | 2020-10-21 | present |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2012-05-21 | 2020-01-29 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-02-13 | 2020-01-29 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-02-13 | 2020-01-29 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2007-12-06 | 2009-02-01 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2009-02-01 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-05-14 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-05-14 |