Yuen Ning Tsai
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yuen Ning Tsai (蔡婉寧), a licensed Representative with CE reference ATX780. Currently licensed at 1 firm(s): Pollock Asset Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 4.1 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Pollock Asset Management Limited 普樂資本有限公司 |
Rep | Type 1 - Dealing in securities | 2026-02-25 | present |
| Pollock Asset Management Limited 普樂資本有限公司 |
Rep | Type 4 - Advising on securities | 2026-02-25 | present |
| Pollock Asset Management Limited 普樂資本有限公司 |
Rep | Type 9 - Asset management | 2026-02-25 | present |
| Futu Securities International (Hong Kong) Limited 富途證券國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2025-10-31 | 2026-01-10 |
| Futu Securities International (Hong Kong) Limited 富途證券國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2025-10-31 | 2026-01-10 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
Rep | Type 1 - Dealing in securities | 2012-09-10 | 2013-11-01 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
Rep | Type 4 - Advising on securities | 2012-09-10 | 2013-11-01 |
| China Shenghai Investment Management Limited 中國盛海投資管理有限公司 |
Rep | Type 9 - Asset management | 2012-09-10 | 2013-11-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | 2010-02-03 | 2012-03-15 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
Rep | Type 9 - Asset management | 2009-10-08 | 2010-01-23 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yuen Ning Tsai during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.