Charlotte Sau Fan Yen
任秀芬
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charlotte Sau Fan Yen (任秀芬), a licensed former licensee with CE reference ANF039. This person has 14.7 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Red Sun Capital Limited 紅日資本有限公司 |
RO | Type 1 - Dealing in securities | 2020-11-10 | 2021-06-30 |
| Red Sun Capital Limited 紅日資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2020-11-10 | 2021-06-30 |
| Red Sun Capital Limited 紅日資本有限公司 |
Rep | Type 1 - Dealing in securities | 2020-10-09 | 2020-11-10 |
| Red Sun Capital Limited 紅日資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2020-10-09 | 2020-11-10 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
RO | Type 1 - Dealing in securities | 2019-03-11 | 2020-09-30 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2019-03-11 | 2020-09-30 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
RO | Type 1 - Dealing in securities | 2012-03-06 | 2019-01-01 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
RO | Type 6 - Advising on corporate finance | 2012-03-06 | 2019-01-01 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
Rep | Type 1 - Dealing in securities | 2011-11-29 | 2012-03-06 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-11-29 | 2012-03-06 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
RO | Type 1 - Dealing in securities | 2008-07-15 | 2011-10-15 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2008-07-15 | 2011-10-15 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2008-05-02 | 2008-07-15 |
| KPMG Corporate Finance Limited 畢馬威企業財務有限公司 |
RO | Type 6 - Advising on corporate finance | 2006-06-03 | 2008-04-19 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Charlotte Sau Fan Yen 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. See the detailed formula.