Yvonne Yu Yan
顏玉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yvonne Yu Yan (顏玉), a licensed former licensee with CE reference AQZ637. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2011-11-08 | 2012-03-02 |
| Merrill Lynch Far East Limited | Rep | Type 2 - Dealing in futures contracts | 2010-09-08 | 2012-03-02 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2009-09-24 | 2012-03-02 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 - Dealing in futures contracts | 2009-09-24 | 2010-09-08 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-05-05 | 2009-07-16 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2008-05-05 | 2009-07-16 |