Shun Tin Yau
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shun Tin Yau (游順典), a licensed Responsible Officer with CE reference AEJ344. Currently licensed at 1 firm(s): New Region Securities Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 23.6 years of SFC licence history. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| New Region Securities Company Limited 恒盛證券有限公司 |
RO | Type 4 - Advising on securities | 2021-05-31 | present |
| New Region Securities Company Limited 恒盛證券有限公司 |
RO | Type 9 - Asset management | 2021-05-31 | present |
| New Region Securities Company Limited 恒盛證券有限公司 |
RO | Type 1 - Dealing in securities | 2008-02-15 | present |
| New Region Securities Company Limited 恒盛證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2008-02-15 |
| New Region Securities Company Limited 恒盛證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2005-02-01 |
| New Region Securities Company Limited 恒盛證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-02-01 |
| New Region Securities Company Limited 恒盛證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2005-02-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Shun Tin Yau during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one.