Wai Yan (SFC:AXQ556) Fung
馮蔚茵
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Yan (SFC:AXQ556) Fung (馮蔚茵), a licensed former licensee with CE reference AXQ556. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-10-11 | 2022-03-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2015-06-30 | 2022-03-01 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-06-30 | 2016-10-10 |
| Hong Investment Advisors Limited | Rep | Type 9 — Asset management | 2012-05-21 | 2015-06-20 |
| Riverwest Advisors Limited |
Rep | Type 9 — Asset management | 2011-08-12 | 2012-04-20 |