Patrick Yau
尤必正
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Patrick Yau (尤必正), a licensed former licensee with CE reference AFT664. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2023-02-27 | 2024-06-06 |
| Core Pacific - Yamaichi Asset Management Limited 京華山一資產管理有限公司 |
RO | Type 9 — Asset management | 2022-01-05 | 2024-06-06 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2021-11-01 | 2024-06-06 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
RO | Type 4 — Advising on securities | 2021-11-01 | 2024-06-06 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-08-12 | 2021-11-01 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-08-12 | 2021-11-01 |
| Core Pacific - Yamaichi Asset Management Limited 京華山一資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-08-12 | 2022-01-05 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2019-02-13 | 2020-03-30 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2019-02-13 | 2020-03-30 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-02-13 | 2020-03-30 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-03-25 | 2019-02-13 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-05-02 | 2019-02-13 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-05-02 | 2014-01-23 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-08-10 | 2012-04-21 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-09-01 | 2012-04-21 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-09-01 | 2012-04-21 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-12-23 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-12-23 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-12-23 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2003-12-23 |