Yiu Chuen Nip
聶耀泉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yiu Chuen Nip (聶耀泉), a licensed Responsible Officer with CE reference ABY425. Currently licensed at 2 firm(s): Founder Securities (Hong Kong) Limited, Founder Asset Management (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 19.
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 |
|---|---|---|---|---|
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2021-02-25 | present |
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2021-02-25 | present |
| Founder Asset Management (Hong Kong) Limited 方正資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2021-02-25 | present |
| Founder Futures (Hong Kong) Limited 方正期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2021-02-25 | 2021-12-13 |
| Founder Asset Management (Hong Kong) Limited 方正資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2021-02-25 | 2021-04-30 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
RO | Type 4 — Advising on securities | 2016-07-18 | 2021-01-25 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
RO | Type 9 — Asset management | 2011-08-01 | 2021-01-25 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 4 — Advising on securities | 2010-02-23 | 2021-01-25 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 1 — Dealing in securities | 2008-08-26 | 2021-01-25 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2008-05-29 | 2008-08-26 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2008-05-29 | 2021-01-25 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-05-15 | 2008-05-29 |
| HGNH International Futures Co., Limited 橫華國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2007-06-26 | 2008-05-01 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-04-25 | 2007-05-25 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-04-25 | 2007-05-25 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-12-15 | 2007-05-25 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2005-04-25 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-10-30 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-30 |