Yishu Yan
嚴亦舒
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yishu Yan (嚴亦舒), a licensed Representative with CE reference BGT857. Currently licensed at 1 firm(s): UBS Securities Asia Limited. Active regulated activities: Type 4 - Advising on securities. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2024-04-15 | present |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2024-03-05 | 2024-03-11 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2022-09-27 | 2022-10-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2019-09-24 | 2020-08-20 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2019-09-24 | 2020-08-20 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2016-01-05 | 2019-09-03 |