Yi (SFC:AOZ134) Su
蘇奕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yi (SFC:AOZ134) Su (蘇奕), a licensed former licensee with CE reference AOZ134. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
Rep | Type 9 - Asset management | 2017-02-03 | 2017-04-13 |
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2009-10-15 | 2017-04-13 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2009-02-11 | 2009-08-03 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2009-02-11 | 2009-08-03 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2007-05-28 | 2008-02-26 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-05-28 | 2008-02-26 |