Yu Chen
陳宇
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yu Chen (陳宇), a licensed former licensee with CE reference AQQ907. This person has 2.7 years of SFC licence history. Total licence records on file: 15.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-10-06 | 2011-05-19 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2010-10-06 | 2011-05-19 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-10-06 | 2011-05-19 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2009-03-13 | 2010-08-27 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2009-03-13 | 2010-08-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2009-03-13 | 2010-08-27 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2009-03-13 | 2010-08-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2009-03-13 | 2010-08-27 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2009-03-13 | 2010-08-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2008-03-14 | 2008-10-21 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2008-03-14 | 2008-10-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2008-03-14 | 2008-10-21 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2008-03-14 | 2008-10-21 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2008-03-14 | 2008-10-21 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2008-03-14 | 2008-10-21 |