Yau Wah Shiu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yau Wah Shiu (蕭猷華), a licensed Representative with CE reference AFP821. Currently licensed at 2 firm(s): Prudential Brokerage Limited, Prudential Index Trading Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 22.9 years of SFC licence history. 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 | Pre-2003 | 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 | Pre-2003 | 2004-05-14 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-05-14 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yau Wah Shiu 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.