Han (SFC:AOL679) Yan
嚴寒
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Han (SFC:AOL679) Yan (嚴寒), a licensed former licensee with CE reference AOL679. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2011-05-09 | 2014-05-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 - Advising on corporate finance | 2011-05-09 | 2014-05-01 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2007-01-31 | 2011-03-21 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-01-31 | 2011-03-21 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | 2007-01-31 | 2011-03-21 |