Patrick Yau
尤必正
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Patrick Yau (尤必正), a licensed former licensee with CE reference AFT664. This person has 19.2 years of SFC licence history. Total licence records on file: 22.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2026-05-22 | 2026-06-11 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2026-05-22 | 2026-06-11 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2023-02-27 | 2024-06-06 |
| Core Pacific - Yamaichi Asset Management Limited 京華山一資產管理有限公司 |
RO | Type 9 - Asset management | 2022-01-05 | 2024-06-06 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2021-11-01 | 2024-06-06 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
RO | Type 4 - Advising on securities | 2021-11-01 | 2024-06-06 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2021-08-12 | 2021-11-01 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2021-08-12 | 2021-11-01 |
| Core Pacific - Yamaichi Asset Management Limited 京華山一資產管理有限公司 |
Rep | Type 9 - Asset management | 2021-08-12 | 2022-01-05 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 9 - Asset management | 2019-02-13 | 2020-03-30 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2019-02-13 | 2020-03-30 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2019-02-13 | 2020-03-30 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-03-25 | 2019-02-13 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-05-02 | 2019-02-13 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-05-02 | 2014-01-23 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-08-10 | 2012-04-21 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-09-01 | 2012-04-21 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-09-01 | 2012-04-21 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-12-23 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-12-23 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-12-23 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-12-23 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Patrick 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. See the detailed formula.