So Ling Yip
葉素玲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for So Ling Yip (葉素玲), a licensed former licensee with CE reference AFH258. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-01 | 2013-02-25 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-11-01 | 2013-02-25 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | 2010-11-01 | 2013-02-25 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2010-11-01 | 2013-02-25 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-09-30 | 2010-10-31 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 5 — Advising on futures contracts | 2005-09-30 | 2010-10-31 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2004-07-23 | 2005-10-04 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-03-25 | 2010-10-31 |
| DBS Vickers Securities Online (HK) Limited 星展唯高達網上證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-03-19 |
| DBS TD Waterhouse Securities (Hong Kong) Limited DBS宏達理財證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-02-13 |
| TD Waterhouse Investor Services (Hong Kong) Inc. TDWaterhouseInvestorServices(HongKong)Inc. |
Rep | Type 1 — Dealing in securities | present | 2003-11-07 |
| DBS Vickers Securities Online (HK) Limited 星展唯高達網上證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-03-19 |
| DBS TD Waterhouse Securities (Hong Kong) Limited DBS宏達理財證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-02-13 |
| TD Waterhouse Investor Services (Hong Kong) Inc. TDWaterhouseInvestorServices(HongKong)Inc. |
Rep | Type 4 — Advising on securities | present | 2003-11-07 |
| DBS Vickers Securities Online (HK) Limited 星展唯高達網上證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-19 |
| DBS TD Waterhouse Securities (Hong Kong) Limited DBS宏達理財證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-13 |
| TD Waterhouse Investor Services (Hong Kong) Inc. TDWaterhouseInvestorServices(HongKong)Inc. |
Rep | Type 6 — Advising on corporate finance | present | 2003-11-07 |
| DBS Vickers Securities Online (HK) Limited 星展唯高達網上證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-03-19 |
| DBS TD Waterhouse Securities (Hong Kong) Limited DBS宏達理財證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-13 |
| TD Waterhouse Investor Services (Hong Kong) Inc. TDWaterhouseInvestorServices(HongKong)Inc. |
Rep | Type 9 — Asset management | present | 2003-11-07 |