Bernard Shui Sang Yu
余瑞生
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Bernard Shui Sang Yu (余瑞生), a licensed Responsible Officer with CE reference AEO855. Currently licensed at 3 firm(s): CNI Securities Group Limited, CNI Global Assets Management Limited, CNI Global Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 6 — Advising on corporate finance; Type 9 — Asset management. Total licence records on file: 39.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on corporate finance →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CNI Securities Group Limited 中國北方證券集團有限公司 |
RO | Type 2 — Dealing in futures contracts | 2022-07-11 | present |
| CNI Securities Group Limited 中國北方證券集團有限公司 |
RO | Type 4 — Advising on securities | 2022-07-11 | present |
| CNI Securities Group Limited 中國北方證券集團有限公司 |
RO | Type 1 — Dealing in securities | 2022-05-04 | present |
| CNI Global Assets Management Limited 中國北方環球資產管理有限公司 |
RO | Type 9 — Asset management | 2022-05-04 | present |
| CNI Global Capital Limited 中國北方環球資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2022-02-10 | present |
| Giant Venture Asset Management Limited 嘉遠資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-04-30 | 2021-07-09 |
| SDHG International Securities Limited 山高國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2020-11-25 | 2021-01-03 |
| SDHG International Asset Management Limited 山高國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2018-06-13 | 2021-01-03 |
| SDHG International Asset Management Limited 山高國際資產管理有限公司 |
RO | Type 5 — Advising on futures contracts | 2018-06-13 | 2021-01-03 |
| SDHG International Asset Management Limited 山高國際資產管理有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-06-13 | 2021-01-03 |
| SDHG International Asset Management Limited 山高國際資產管理有限公司 |
RO | Type 9 — Asset management | 2018-06-13 | 2021-01-03 |
| SDHG International Asset Management Limited 山高國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2018-05-02 | 2018-06-13 |
| SDHG International Asset Management Limited 山高國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2018-05-02 | 2018-06-13 |
| Glenworth Capital Limited | RO | Type 4 — Advising on securities | 2017-08-18 | 2018-02-01 |
| Glenworth Capital Limited | RO | Type 9 — Asset management | 2017-08-18 | 2018-02-01 |
| Finet Securities Limited 財華證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-03-21 | 2017-04-11 |
| Softech Investment Management Company Limited 軟庫亞科網投資管理有限公司 |
RO | Type 4 — Advising on securities | 2016-10-13 | 2017-01-16 |
| Softech Investment Management Company Limited 軟庫亞科網投資管理有限公司 |
RO | Type 9 — Asset management | 2016-10-13 | 2017-01-16 |
| Arta Asset Management Limited 裕承資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2015-04-02 | 2015-10-01 |
| Arta Asset Management Limited 裕承資產管理有限公司 |
RO | Type 4 — Advising on securities | 2015-04-02 | 2015-10-01 |
| Arta Asset Management Limited 裕承資產管理有限公司 |
RO | Type 9 — Asset management | 2014-10-24 | 2015-10-01 |
| Arta Asset Management Limited 裕承資產管理有限公司 |
Rep | Type 9 — Asset management | 2014-10-10 | 2014-10-24 |
| Golden Jade Capital Limited 金瑜融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-05-29 | 2014-08-29 |
| Tianda Securities Limited 天大証券有限公司 |
RO | Type 1 — Dealing in securities | 2014-01-27 | 2014-04-18 |
| Tianda Securities Limited 天大証券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2014-01-27 | 2014-04-18 |
| Tianda Asset Management Limited 天大資產管理有限公司 |
RO | Type 9 — Asset management | 2013-12-06 | 2014-04-18 |
| Tianda Securities Limited 天大証券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-09-30 | 2014-01-27 |
| Tianda Securities Limited 天大証券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-09-30 | 2014-01-27 |
| Tianda Asset Management Limited 天大資產管理有限公司 |
Rep | Type 9 — Asset management | 2013-09-30 | 2013-12-06 |
| Enlighten Securities Limited 名匯證券有限公司 |
RO | Type 1 — Dealing in securities | 2005-04-22 | 2013-09-02 |
| Enlighten Futures Limited 名匯期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-04-22 | 2013-09-02 |
| Enlighten Securities Limited 名匯證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-01 | 2005-04-22 |
| Enlighten Futures Limited 名匯期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-04-01 | 2005-04-22 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-01-25 | 2005-02-07 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-01-25 | 2005-02-07 |
| Realink Financial Trade Limited 滙信理財有限公司 |
RO | Type 1 — Dealing in securities | 2004-08-03 | 2004-10-06 |
| Realink Financial Trade Limited 滙信理財有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-08-03 | 2004-10-06 |
| Realink Financial Trade Limited 滙信理財有限公司 |
Rep | Type 1 — Dealing in securities | 2004-07-23 | 2004-08-03 |
| Ewarton Securities Limited 穎翔證券有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-07-15 |