Yali (SFC:BKY115) Zhu
朱亞莉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yali (SFC:BKY115) Zhu (朱亞莉), a licensed former licensee with CE reference BKY115. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 7 — Providing automated trading services | 2023-07-10 | 2024-01-19 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2020-04-15 | 2024-01-19 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 — Advising on securities | 2020-04-15 | 2024-01-19 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-10-28 | 2024-01-19 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-10-10 | 2020-04-15 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-10-10 | 2020-04-15 |
| Yunfeng Asset Management Limited 雲鋒資產管理有限公司 |
Rep | Type 9 — Asset management | 2018-04-10 | 2019-08-19 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
RO | Type 1 — Dealing in securities | 2018-01-22 | 2019-08-19 |
| Yunfeng Securities Limited 雲鋒證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-01-22 | 2019-08-19 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
Rep | Type 1 — Dealing in securities | 2017-09-21 | 2018-01-22 |
| Yunfeng Securities Limited 雲鋒證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-09-21 | 2018-01-22 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
Rep | Type 4 — Advising on securities | 2017-09-21 | 2019-08-19 |
| Yunfeng Securities Limited 雲鋒證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-09-21 | 2019-08-19 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
Rep | Type 9 — Asset management | 2017-09-21 | 2019-08-19 |