Raymundo A Jr Yu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Raymundo A Jr Yu ( ), a licensed former licensee with CE reference ADV211. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Threadneedle Portfolio Services Hong Kong Limited 天利投資管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-27 | 2021-11-29 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2009-05-29 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |