Vernon Ka Leung Yu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Vernon Ka Leung Yu ( ), a licensed former licensee with CE reference AEE209. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lazard Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2014-08-18 | 2016-02-10 |
| Lazard Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2014-08-18 | 2016-02-10 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
RO | Type 4 — Advising on securities | 2006-06-16 | 2011-04-08 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
RO | Type 9 — Asset management | 2006-06-16 | 2011-04-08 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-09 | 2011-04-08 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 5 — Advising on futures contracts | 2006-06-09 | 2011-04-08 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2005-01-19 | 2006-06-16 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 9 — Asset management | 2005-01-19 | 2006-06-16 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2005-01-19 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-05-05 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2005-01-19 |