Douglas Kim Ho Yu
余劍豪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Douglas Kim Ho Yu (余劍豪), a licensed former licensee with CE reference ABF198. Total licence records on file: 31.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| WK Fund Management Limited 勁域基金管理有限公司 |
RO | Type 9 — Asset management | 2020-09-30 | 2020-09-30 |
| WK Fund Management Limited 勁域基金管理有限公司 |
RO | Type 4 — Advising on securities | 2019-04-30 | 2020-09-30 |
| WK Fund Management Limited 勁域基金管理有限公司 |
Rep | Type 9 — Asset management | 2019-02-25 | 2020-09-30 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
RO | Type 1 — Dealing in securities | 2018-04-13 | 2019-01-04 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
Rep | Type 9 — Asset management | 2018-03-21 | 2019-01-04 |
| China Sunrise Capital Limited 華升資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-03-14 | 2017-05-16 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
Rep | Type 9 — Asset management | 2016-08-16 | 2017-02-08 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
RO | Type 1 — Dealing in securities | 2016-08-16 | 2017-02-08 |
| China Everbright Capital Limited 中國光大融資有限公司 |
RO | Type 1 — Dealing in securities | 2011-12-09 | 2015-05-15 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2011-12-09 | 2015-05-15 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 1 — Dealing in securities | 2011-04-19 | 2011-12-09 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-04-19 | 2011-12-09 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 4 — Advising on securities | 2011-04-19 | 2015-05-15 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-04-19 | 2015-05-15 |
| China Everbright Capital Limited 中國光大融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-04-19 | 2015-05-15 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-04-19 | 2015-05-15 |
| Cinda International Capital Limited 信達國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-15 | 2011-04-01 |
| Cinda International Securities Limited 信達國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-15 | 2011-04-01 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-03 | 2009-07-02 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-03 | 2009-07-02 |
| Tung Shing Futures (Brokers) Limited 東盛期貨(經紀)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-07-17 | 2008-09-01 |
| Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-06 | 2008-09-01 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-10-13 | 2006-05-26 |
| Kingston Securities Limited 金利豐證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-03-08 | 2005-05-06 |
| Kingston Futures Limited 金利豐期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-03-08 | 2005-05-06 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-06-30 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-06-30 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-30 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-11 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-03-11 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-30 |