Duncan Wai Yee Wun
溫偉儀
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Duncan Wai Yee Wun (溫偉儀), a licensed former licensee with CE reference AAD933. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Carnegie Hill Capital Partners Limited 衡山證券資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2020-10-23 | 2021-11-23 |
| Carnegie Hill Capital Partners Limited 衡山證券資產管理有限公司 |
RO | Type 4 — Advising on securities | 2020-10-23 | 2021-11-23 |
| Carnegie Hill Capital Partners Limited 衡山證券資產管理有限公司 |
RO | Type 9 — Asset management | 2020-10-23 | 2021-11-23 |
| Greencourt Financial Co., Limited 綠庭金融有限公司 |
RO | Type 1 — Dealing in securities | 2018-10-24 | 2020-05-27 |
| Greencourt Financial Co., Limited 綠庭金融有限公司 |
RO | Type 4 — Advising on securities | 2018-10-24 | 2020-05-27 |
| Greencourt Financial Co., Limited 綠庭金融有限公司 |
RO | Type 9 — Asset management | 2018-10-24 | 2020-05-27 |
| KEC Capital Company Limited 盛亨資本有限公司 |
RO | Type 9 — Asset management | 2017-10-30 | 2018-01-18 |
| KEC Capital Company Limited 盛亨資本有限公司 |
Rep | Type 9 — Asset management | 2017-08-25 | 2017-10-30 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2010-07-13 | 2017-05-27 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2010-07-13 | 2017-05-27 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-08-28 | 2010-07-13 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-08-28 | 2010-07-13 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 1 — Dealing in securities | 2008-03-13 | 2009-08-22 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 4 — Advising on securities | 2008-03-13 | 2009-08-22 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2004-07-16 | 2008-03-13 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-04-22 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-04-22 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-04-22 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-22 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-04-22 |