Yuk Tin
田旭
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yuk Tin (田旭), a licensed former licensee with CE reference ANH344. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 1 — Dealing in securities | 2018-04-12 | 2024-08-17 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 4 — Advising on securities | 2018-04-12 | 2024-08-17 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-05-07 | 2015-12-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | 2011-06-09 | 2015-12-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2010-07-02 | 2015-12-01 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2009-02-05 | 2009-04-28 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 1 — Dealing in securities | 2009-01-21 | 2009-04-28 |
| Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-01-21 | 2009-04-28 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-09-26 | 2009-01-19 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-09-26 | 2009-01-19 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 5 — Advising on futures contracts | 2006-09-26 | 2009-01-19 |
| Rakuten Securities Hong Kong Limited 樂天證券香港有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2006-04-24 | 2006-07-10 |