Fung Yim
閻峰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Fung Yim (閻峰), a licensed Responsible Officer with CE reference AFP741. Currently licensed at 1 firm(s): Guotai Junan Securities (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2019-01-04 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-01-04 | present |
| Guotai Junan Fund Management Limited 國泰君安基金管理有限公司 |
RO | Type 1 — Dealing in securities | 2014-02-17 | 2020-09-30 |
| Guotai Junan Fund Management Limited 國泰君安基金管理有限公司 |
RO | Type 4 — Advising on securities | 2011-08-04 | 2020-11-16 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2009-09-23 | 2020-11-16 |
| Guotai Junan Fund Management Limited 國泰君安基金管理有限公司 |
RO | Type 9 — Asset management | 2008-05-29 | 2020-11-16 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2004-11-29 | 2020-11-16 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2015-07-28 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2015-07-28 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | present | 2004-03-30 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-03-30 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
RO | Type 9 — Asset management | present | 2020-11-16 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 9 — Asset management | present | 2004-03-30 |