Yi (SFC:AUV739) Fan
樊一
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yi (SFC:AUV739) Fan (樊一), a licensed Responsible Officer with CE reference AUV739. Currently licensed at 1 firm(s): Alpine Investment Management Limited. Active regulated activities: Type 9 — Asset management. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Alpine Investment Management Limited |
RO | Type 9 — Asset management | 2022-10-03 | present |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-11-28 | 2022-03-16 |
| Hong Capital Partners Limited 宏時資本香港有限公司 |
RO | Type 9 — Asset management | 2018-06-08 | 2018-11-12 |
| Optimas Capital Limited 中庸資本有限公司 |
RO | Type 1 — Dealing in securities | 2017-08-04 | 2018-05-25 |
| Optimas Capital Limited 中庸資本有限公司 |
RO | Type 4 — Advising on securities | 2017-08-04 | 2018-05-25 |
| Optimas Capital Limited 中庸資本有限公司 |
Rep | Type 9 — Asset management | 2016-10-27 | 2018-05-25 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-07-10 | 2016-07-16 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-08-20 | 2014-03-22 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2010-05-19 | 2014-03-22 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2010-05-19 | 2014-03-22 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2010-05-19 | 2010-08-20 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2010-03-19 | 2010-05-11 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-03-19 | 2010-05-11 |