Anna Yen Kim
嚴立恬
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Anna Yen Kim (嚴立恬), a licensed former licensee with CE reference ANG466. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Leading Securities Company Limited 立鼎證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-05-10 | 2016-08-29 |
| Leading Securities Company Limited 立鼎證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-05-10 | 2016-08-29 |
| Leading Securities Company Limited 立鼎證券有限公司 |
Rep | Type 9 — Asset management | 2016-05-10 | 2016-08-29 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2010-06-28 | 2013-01-23 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2010-06-28 | 2013-01-23 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2010-06-28 | 2013-01-23 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2010-06-28 | 2013-01-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2006-04-03 | 2008-03-14 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2006-04-03 | 2008-03-14 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2006-04-03 | 2008-03-14 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2006-04-03 | 2008-03-14 |