Siu Kei Yim
嚴兆基
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Kei Yim (嚴兆基), a licensed Responsible Officer with CE reference AAJ966. Currently licensed at 1 firm(s): Success Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Success Securities Limited 實德證券有限公司 |
RO | Type 1 — Dealing in securities | 2004-11-29 | present |
| Success Securities Limited 實德證券有限公司 |
RO | Type 4 — Advising on securities | 2004-11-29 | present |
| Success Securities Limited 實德證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-11-29 |
| Success Securities Limited 實德證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-07-12 |
| Success Securities Limited 實德證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-07-12 |
| Success Securities Limited 實德證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-07-12 |
| Success Futures and Foreign Exchange Limited 實德期貨及外滙有限公司 |
RO | Type 2 — Dealing in futures contracts | present | 2018-06-04 |
| Success Futures and Foreign Exchange Limited 實德期貨及外滙有限公司 |
RO | Type 5 — Advising on futures contracts | present | 2004-07-12 |
| Success Futures and Foreign Exchange Limited 實德期貨及外滙有限公司 |
RO | Type 9 — Asset management | present | 2004-07-12 |