Tricia Ka Yan Yu
余嘉欣
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tricia Ka Yan Yu (余嘉欣), a licensed former licensee with CE reference AZO632. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2013-03-15 | 2017-05-31 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 5 - Advising on futures contracts | 2013-03-15 | 2015-02-17 |
| NNIP Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2012-07-10 | 2013-01-18 |
| NNIP Hong Kong Limited | Rep | Type 4 - Advising on securities | 2012-07-10 | 2013-01-18 |
| NNIP Hong Kong Limited | Rep | Type 9 - Asset management | 2012-07-10 | 2013-01-18 |