Ka Yan Ha
夏嘉欣
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yan Ha (夏嘉欣), a licensed former licensee with CE reference ANK949. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Hang Seng Investment Management Limited 恒生投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2014-04-23 | 2014-07-01 |
| Hang Seng Investment Management Limited 恒生投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2014-04-23 | 2014-07-01 |
| Hang Seng Investment Management Limited 恒生投資管理有限公司 |
Rep | Type 9 — Asset management | 2014-04-23 | 2014-07-01 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2013-11-21 | 2014-01-03 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2013-11-21 | 2014-01-03 |
| NNIP Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2008-01-09 | 2011-06-17 |
| NNIP Hong Kong Limited | Rep | Type 4 — Advising on securities | 2008-01-09 | 2011-06-17 |
| NNIP Hong Kong Limited | Rep | Type 9 — Asset management | 2008-01-09 | 2010-05-25 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2006-06-30 | 2007-12-14 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2006-06-30 | 2007-12-14 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2006-06-30 | 2007-12-14 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2006-06-30 | 2007-12-14 |