Yang Yu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yang Yu (于楊), a licensed Responsible Officer with CE reference AUZ703. 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 16.2 years of SFC licence history. Total licence records on file: 10.
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 4 - Advising on securities | 2019-08-19 | present |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 - Dealing in securities | 2018-01-10 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2018-01-10 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2018-01-10 | present |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-04-24 | 2018-01-10 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-04-24 | 2018-01-10 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-04-24 | 2018-01-10 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-04-23 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-04-23 | 2016-01-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-04-23 | 2016-01-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yang Yu 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.