Daisy Yan Ki Ling
凌恩琪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Daisy Yan Ki Ling (凌恩琪), a licensed former licensee with CE reference AIN883. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| De Riva Asia Limited |
Rep | Type 1 — Dealing in securities | 2010-11-12 | 2013-06-10 |
| De Riva Asia Limited |
Rep | Type 2 — Dealing in futures contracts | 2010-11-12 | 2013-06-10 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2010-11-06 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2010-11-06 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2010-11-06 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-03 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-03 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-06-03 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-03 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-03 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-07-21 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-03 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-03 |
| KGI Securities (Hong Kong) Limited 凱基證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-03 |