Shing Wai Yiu
姚盛慧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shing Wai Yiu (姚盛慧), a licensed Responsible Officer with CE reference AAG891. Currently licensed at 1 firm(s): Yellow River Securities Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Yellow River Securities Limited 黃河證券有限公司 |
RO | Type 1 — Dealing in securities | 2020-02-13 | present |
| Yellow River Securities Limited 黃河證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-02-03 | 2020-02-13 |
| FT Securities Limited 富通證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-04-12 | 2019-11-02 |
| FT Securities Limited 富通證券有限公司 |
RO | Type 4 — Advising on securities | 2018-04-12 | 2019-11-02 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-03-26 | 2018-04-12 |
| Goldin Equities Limited 高銀(證券)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-10-25 | 2018-03-02 |
| Goldin Equities Limited 高銀(證券)有限公司 |
RO | Type 1 — Dealing in securities | 2016-08-31 | 2018-03-02 |
| SFGHK Limited | RO | Type 1 — Dealing in securities | 2011-09-06 | 2016-08-21 |
| Goldin Equities Limited 高銀(證券)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2010-08-11 | 2011-09-04 |
| Goldin Equities Limited 高銀(證券)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-06-15 | 2011-09-04 |
| Goldin Equities Limited 高銀(證券)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-06-15 | 2010-08-11 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-11-26 | 2010-06-10 |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2010-06-10 |