Esther Sze Wing Yuen
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Esther Sze Wing Yuen (袁詩穎), a licensed Responsible Officer with CE reference AMS885. Currently licensed at 2 firm(s): CLSA Limited, CITIC Securities (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 20.3 years of SFC licence history. Total licence records on file: 18.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 - Dealing in securities | 2023-09-14 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2023-09-14 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2023-09-14 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2020-01-03 | 2023-09-14 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2019-11-29 | 2023-09-14 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2019-11-29 | 2023-09-14 |
| SPDB International Capital Limited 浦銀國際融資有限公司 |
Rep | Type 1 - Dealing in securities | 2017-05-11 | 2019-10-25 |
| SPDB International Capital Limited 浦銀國際融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-05-11 | 2019-10-25 |
| Bendura Wealth Management (Hong Kong) Limited 富地財富管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-06-11 | 2017-04-02 |
| Bendura Wealth Management (Hong Kong) Limited 富地財富管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-06-11 | 2017-04-02 |
| Bendura Wealth Management (Hong Kong) Limited 富地財富管理(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-06-11 | 2017-04-02 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 1 - Dealing in securities | 2014-02-18 | 2015-05-22 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 1 - Dealing in securities | 2013-10-25 | 2014-02-18 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2013-10-25 | 2015-05-22 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 - Dealing in securities | 2007-07-30 | 2013-09-13 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-07-30 | 2013-09-13 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 - Dealing in securities | 2005-11-22 | 2007-06-30 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 6 - Advising on corporate finance | 2005-11-22 | 2007-06-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Esther Sze Wing Yuen 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.