Ka Yee Connie Yan
甄家怡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yee Connie Yan (甄家怡), a licensed former licensee with CE reference ALF375. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-08-08 | 2013-01-24 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-08-08 | 2013-01-24 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2008-06-05 | 2010-04-16 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2007-04-30 | 2010-04-16 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2005-04-25 | 2007-01-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2004-09-07 | 2007-01-30 |