Kuei-Ling Pan
潘桂玲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kuei-Ling Pan (潘桂玲), a licensed Responsible Officer with CE reference APC589. Currently licensed at 1 firm(s): Yuanta Securities (Hong Kong) Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2020-02-04 | present |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2020-02-04 | present |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 9 - Asset management | 2020-02-04 | present |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2019-08-29 | 2020-02-04 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2019-08-29 | 2020-02-04 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 9 - Asset management | 2019-08-29 | 2020-02-04 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
RO | Type 9 - Asset management | 2018-04-19 | 2019-08-14 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2010-02-11 | 2019-08-14 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2010-02-11 | 2019-08-14 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-07-24 | 2010-02-11 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2007-07-24 | 2010-02-11 |