Vivian Yan
甄慧淙
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Vivian Yan (甄慧淙), a licensed former licensee with CE reference AXW605. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DELPHINIUM ASSETS MANAGEMENT LIMITED 締豐資產管理有限公司 |
RO | Type 4 — Advising on securities | 2016-10-24 | 2025-03-05 |
| DELPHINIUM ASSETS MANAGEMENT LIMITED 締豐資產管理有限公司 |
RO | Type 9 — Asset management | 2016-10-24 | 2025-03-05 |
| Harmony Asset Management Limited 亨亞管理有限公司 |
RO | Type 9 — Asset management | 2015-09-09 | 2022-02-11 |
| Harmony Asset Management Limited 亨亞管理有限公司 |
RO | Type 4 — Advising on securities | 2015-01-12 | 2022-02-11 |
| Harmony Asset Management Limited 亨亞管理有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-01-12 | 2022-02-11 |
| Harmony Asset Management Limited 亨亞管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-09-06 | 2015-01-12 |
| Harmony Asset Management Limited 亨亞管理有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-09-06 | 2015-01-12 |
| Harmony Asset Management Limited 亨亞管理有限公司 |
Rep | Type 9 — Asset management | 2011-09-06 | 2015-09-09 |