Yen-Ting Kuo
郭彥廷
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yen-Ting Kuo (郭彥廷), CE reference AHK087. Currently licensed at 1 firm(s): Aspenwood Capital Limited. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aspenwood Capital Limited 嘉桓資本有限公司 |
Rep | Type 4 — Advising on securities | 2021-09-06 | present |
| Aspenwood Capital Limited 嘉桓資本有限公司 |
Rep | Type 9 — Asset management | 2021-09-06 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-30 | 2011-01-12 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-04-30 | 2011-01-12 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-30 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-30 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-30 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-05-30 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-30 |