Yi-Ju (SFC:AOJ451) Lin
林怡如
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yi-Ju (SFC:AOJ451) Lin (林怡如), a licensed former licensee with CE reference AOJ451. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2013-07-25 | 2013-11-06 |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-10 | 2013-03-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-23 | 2011-06-02 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-23 | 2011-06-02 |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-20 | 2011-02-28 |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-01-20 | 2011-02-28 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-01-28 | 2010-12-13 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2007-06-13 | 2010-10-28 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-01-04 | 2007-05-31 |