Shu Cheung Yau
游樹祥
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shu Cheung Yau (游樹祥), a licensed Responsible Officer with CE reference AAJ570. Currently licensed at 2 firm(s): Shanggu Securities Limited, Shanggu Asset Management (Asia) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 20.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shanggu Securities Limited 上古證券有限公司 |
Rep | Type 4 — Advising on securities | 2024-11-13 | present |
| Shanggu Asset Management (Asia) Limited 上古亞洲資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2023-03-28 | present |
| Shanggu Asset Management (Asia) Limited 上古亞洲資產管理有限公司 |
RO | Type 4 — Advising on securities | 2023-03-28 | present |
| Shanggu Asset Management (Asia) Limited 上古亞洲資產管理有限公司 |
RO | Type 9 — Asset management | 2023-03-28 | present |
| Tianlong Securities Co., Limited 天龍證券股份有限公司 |
RO | Type 4 — Advising on securities | 2021-06-04 | 2023-03-10 |
| Tianlong Securities Co., Limited 天龍證券股份有限公司 |
RO | Type 9 — Asset management | 2021-06-04 | 2023-03-10 |
| Shanggu Asset Management (Asia) Limited 上古亞洲資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2020-07-02 | 2021-04-16 |
| Shanggu Asset Management (Asia) Limited 上古亞洲資產管理有限公司 |
RO | Type 4 — Advising on securities | 2020-07-02 | 2021-04-16 |
| Shanggu Asset Management (Asia) Limited 上古亞洲資產管理有限公司 |
RO | Type 9 — Asset management | 2020-07-02 | 2021-04-16 |
| Sinostar Securities Limited 華星證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-07-07 | 2020-02-08 |
| Sinostar Asset Management Limited 華星資產管理有限公司 |
RO | Type 4 — Advising on securities | 2017-02-07 | 2020-02-08 |
| Sinostar Asset Management Limited 華星資產管理有限公司 |
RO | Type 9 — Asset management | 2017-02-07 | 2020-02-08 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-02 | 2016-12-20 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2015-04-02 | 2016-12-20 |
| KGI Asset Management Limited 凱基資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2013-05-31 | 2016-12-20 |
| KGI Asset Management Limited 凱基資產管理有限公司 |
RO | Type 4 — Advising on securities | present | 2016-12-20 |
| T G Holborn (HK) Limited 浩邦﹝香港﹞有限公司 |
RO | Type 4 — Advising on securities | present | 2013-11-29 |
| KGI Asset Management Limited 凱基資產管理有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2016-11-22 |
| T G Holborn (HK) Limited 浩邦﹝香港﹞有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2013-11-29 |
| KGI Asset Management Limited 凱基資產管理有限公司 |
RO | Type 9 — Asset management | present | 2016-12-20 |