Yuen, Siu Ting 阮少婷
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CINDA INTERNATIONAL FUTURES LIMITED | Rep | Advising on futures contracts | 2003-05-06 | Rep | Asset management | 2003-05-06 | Rep | Dealing in futures contracts | 2003-05-07 | Rep | Dealing in futures contracts | 2003-10-21 | 2004-06-25 |
| 2 | CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | Leveraged foreign exchange trading | 2003-05-07 | Rep | Leveraged foreign exchange trading | 2003-10-21 | 2004-06-25 |
| 3 | CINDA INTERNATIONAL SECURITIES LIMITED | Rep | Advising on corporate finance | 2003-05-06 | Rep | Advising on securities | 2003-05-06 | Rep | Asset management | 2003-05-06 | Rep | Automated trading services | 2003-05-07 | Rep | Dealing in securities | 2003-05-07 | Rep | Dealing in securities | 2003-10-21 | 2004-06-25 |
| 4 | FWD Life Insurance Company (Bermuda) Limited | Rep | Asset management | 2012-07-12 | 2014-09-08 |
| 5 | Goldman Sachs Investment Management Hong Kong Limited | Rep | Advising on securities | 2011-11-04 | 2012-07-01 | Rep | Asset management | 2011-11-04 | 2012-07-01 | Rep | Dealing in securities | 2011-11-04 | 2012-07-01 |
| 6 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2014-09-29 | 2019-03-04 | Rep | Asset management | 2014-09-29 | 2019-03-04 | Rep | Dealing in securities | 2014-09-29 | 2019-03-04 | Rep | Advising on futures contracts | 2021-04-27 | 2023-06-30 | Rep | Advising on securities | 2021-04-27 | 2023-06-30 | Rep | Asset management | 2021-04-27 | 2023-06-30 | Rep | Dealing in securities | 2021-04-27 | 2023-06-30 |
| 7 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Dealing in securities | 2014-09-29 | 2019-03-04 |
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