Yang (SFC:AUZ703) Yu
于楊
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yang (SFC:AUZ703) Yu (于楊), CE reference AUZ703. Currently licensed at 2 firm(s): CLSA Limited, CITIC Securities (Hong Kong) Limited. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 4 — Advising on securities | 2019-08-19 | present |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-01-10 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2018-01-10 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-01-10 | present |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-24 | 2018-01-10 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-04-24 | 2018-01-10 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-04-24 | 2018-01-10 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-04-23 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-04-23 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-04-23 | 2016-01-01 |