Eric Sau San Yeung
楊秀臣
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Eric Sau San Yeung (楊秀臣), a licensed former licensee with CE reference ADL089. Total licence records on file: 25.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
RO | Type 1 — Dealing in securities | 2023-12-22 | 2024-03-26 |
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
RO | Type 4 — Advising on securities | 2023-12-22 | 2024-03-26 |
| ICBC International Fund Management Limited 工銀國際基金管理有限公司 |
RO | Type 9 — Asset management | 2023-12-22 | 2024-03-26 |
| ICBC International Asset Management Limited 工銀國際資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2016-06-15 | 2024-03-13 |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2015-03-31 | 2020-09-03 |
| ICBC International Asset Management Limited 工銀國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2015-03-31 | 2024-03-13 |
| ICBC International Research Limited 工銀國際證券研究有限公司 |
RO | Type 4 — Advising on securities | 2015-03-31 | 2017-06-09 |
| ICBC International Asset Management Limited 工銀國際資產管理有限公司 |
RO | Type 9 — Asset management | 2015-03-31 | 2024-03-13 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2014-05-23 | 2020-09-03 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2014-05-23 | 2019-12-30 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2014-05-23 | 2020-09-03 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-04-17 | 2014-05-23 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-04-17 | 2014-05-23 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2014-04-17 | 2014-05-23 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-04-18 | 2014-04-01 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2010-04-19 | 2014-04-01 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-09-03 | 2010-04-19 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2007-06-11 | 2014-04-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
RO | Type 4 — Advising on securities | 2007-06-11 | 2014-04-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-30 | 2007-06-11 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2004-09-30 | 2007-04-19 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2004-09-30 | 2007-04-19 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-08-18 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2004-07-30 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-08-18 |