Sum Ying Kong
江沁凝
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sum Ying Kong (江沁凝), a licensed former licensee with CE reference AFS337. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-10-29 | 2015-09-01 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 4 — Advising on securities | 2013-10-29 | 2015-09-01 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 9 — Asset management | 2013-10-29 | 2015-09-01 |
| LCA Solutions Limited | Rep | Type 1 — Dealing in securities | 2010-11-09 | 2013-10-20 |
| LCA Solutions Limited | Rep | Type 4 — Advising on securities | 2010-11-09 | 2013-10-20 |
| LCA Solutions Limited | Rep | Type 9 — Asset management | 2010-11-09 | 2013-10-20 |
| Sarasin Rabo Investment Management Limited 瑞士嘉盛萊寶投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2003-06-06 | 2003-09-03 |
| Sarasin Rabo Investment Management Limited 瑞士嘉盛萊寶投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2003-06-06 | 2003-09-03 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-27 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-27 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-05-27 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-27 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-27 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-05-27 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-27 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-27 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-05-27 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-05-27 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-27 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-27 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-27 |