Yuen Chi Shih
施婉智
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yuen Chi Shih (施婉智), a licensed former licensee with CE reference ASE819. Total licence records on file: 25.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Initial Capital Securities Limited 鑫元證券有限公司 |
RO | Type 1 — Dealing in securities | 2022-07-15 | 2022-11-01 |
| Initial Capital Securities Limited 鑫元證券有限公司 |
RO | Type 4 — Advising on securities | 2022-07-15 | 2022-11-01 |
| Initial Capital Securities Limited 鑫元證券有限公司 |
RO | Type 9 — Asset management | 2022-07-15 | 2022-11-01 |
| Theia Securities Limited 遠源證券有限公司 |
RO | Type 4 — Advising on securities | 2020-07-14 | 2021-10-31 |
| Theia Securities Limited 遠源證券有限公司 |
RO | Type 9 — Asset management | 2020-07-14 | 2021-10-31 |
| Leeds Securities Investment Limited 競富證券金融有限公司 |
RO | Type 1 — Dealing in securities | 2019-10-17 | 2019-11-15 |
| Leeds Fund International Limited 競富基金國際有限公司 |
RO | Type 4 — Advising on securities | 2019-10-17 | 2019-11-15 |
| Leeds Fund International Limited 競富基金國際有限公司 |
RO | Type 9 — Asset management | 2019-10-17 | 2019-11-15 |
| Profit Access Investments Limited 啓利投資有限公司 |
RO | Type 1 — Dealing in securities | 2019-07-18 | 2019-10-11 |
| Profit Access Investments Limited 啓利投資有限公司 |
RO | Type 4 — Advising on securities | 2019-01-02 | 2019-10-11 |
| Profit Access Investments Limited 啓利投資有限公司 |
RO | Type 9 — Asset management | 2019-01-02 | 2019-10-11 |
| Goldhorse Securities Limited 金馬證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-06-29 | 2018-12-31 |
| Goldhorse Securities Limited 金馬證券有限公司 |
RO | Type 4 — Advising on securities | 2016-06-29 | 2018-12-31 |
| Wei Da Asset Management Limited 偉達資產管理有限公司 |
RO | Type 9 — Asset management | 2016-06-29 | 2018-12-31 |
| China Sunrise Asset Management Limited 華升資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2014-10-09 | 2016-05-25 |
| China Sunrise Asset Management Limited 華升資產管理有限公司 |
RO | Type 4 — Advising on securities | 2014-10-09 | 2016-05-25 |
| China Sunrise Asset Management Limited 華升資產管理有限公司 |
RO | Type 9 — Asset management | 2014-10-09 | 2016-05-25 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
RO | Type 1 — Dealing in securities | 2011-11-15 | 2014-02-01 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
RO | Type 4 — Advising on securities | 2011-11-15 | 2014-02-01 |
| Frontier Capital Management Limited 方達資本管理有限公司 |
RO | Type 9 — Asset management | 2011-11-15 | 2014-02-01 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-07 | 2011-01-06 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2010-04-07 | 2011-01-06 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
Rep | Type 9 — Asset management | 2010-04-07 | 2011-01-06 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-05-13 | 2010-02-27 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2008-12-22 | 2010-02-27 |