Sze Ki Yip
葉士奇
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sze Ki Yip (葉士奇), a licensed former licensee with CE reference ACL453. Total licence records on file: 37.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2021-03-26 | 2022-10-10 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2021-03-26 | 2022-10-10 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2021-03-26 | 2022-10-10 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2021-03-26 | 2022-10-10 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2021-03-26 | 2022-10-10 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2021-03-26 | 2022-10-10 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2020-12-22 | 2021-03-26 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2020-12-22 | 2021-03-26 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2020-12-22 | 2021-03-26 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2020-12-22 | 2021-03-26 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2020-12-22 | 2021-03-26 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2020-12-22 | 2021-03-26 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2011-06-09 | 2014-08-01 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2011-06-09 | 2011-12-31 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2011-06-09 | 2014-08-01 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 4 — Advising on securities | 2011-06-09 | 2014-08-01 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2011-06-09 | 2011-12-31 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2011-06-09 | 2011-12-31 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 6 — Advising on corporate finance | 2011-06-09 | 2014-08-01 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2011-06-09 | 2014-08-01 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 9 — Asset management | 2011-06-09 | 2014-08-01 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2011-06-09 | 2011-12-31 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 5 — Advising on futures contracts | 2011-05-04 | 2014-08-01 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2011-05-04 | 2014-08-01 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2010-07-26 | 2014-08-01 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2010-07-26 | 2014-08-01 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2010-07-26 | 2014-08-01 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2010-07-26 | 2014-08-01 |
| SINOPIA Asset Management (Asia Pacific) Limited 信滙資產管理(亞太)有限公司 |
RO | Type 1 — Dealing in securities | 2008-10-02 | 2011-08-31 |
| SINOPIA Asset Management (Asia Pacific) Limited 信滙資產管理(亞太)有限公司 |
RO | Type 4 — Advising on securities | 2008-10-02 | 2011-08-31 |
| SINOPIA Asset Management (Asia Pacific) Limited 信滙資產管理(亞太)有限公司 |
RO | Type 5 — Advising on futures contracts | 2008-10-02 | 2011-08-31 |
| SINOPIA Asset Management (Asia Pacific) Limited 信滙資產管理(亞太)有限公司 |
RO | Type 9 — Asset management | 2008-10-02 | 2011-08-31 |
| HSBC Life (International) Limited 滙豐人壽保險（國際）有限公司 |
Rep | Type 4 — Advising on securities | 2007-12-03 | 2008-10-01 |
| Paribas Asia Equity Limited 巴黎巴亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-07-21 | 2007-06-15 |
| SINOPIA Asset Management (Asia Pacific) Limited 信滙資產管理(亞太)有限公司 |
RO | Type 4 — Advising on securities | present | 2006-07-15 |
| SINOPIA Asset Management (Asia Pacific) Limited 信滙資產管理(亞太)有限公司 |
RO | Type 5 — Advising on futures contracts | present | 2006-07-15 |
| SINOPIA Asset Management (Asia Pacific) Limited 信滙資產管理(亞太)有限公司 |
RO | Type 9 — Asset management | present | 2006-07-15 |