Karen Kar Man Yau
尤嘉敏
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karen Kar Man Yau (尤嘉敏), a licensed former licensee with CE reference AGA449. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Innovax Capital Limited 創陞融資有限公司 |
RO | Type 1 — Dealing in securities | 2022-01-21 | 2022-02-11 |
| Innovax Capital Limited 創陞融資有限公司 |
Rep | Type 1 — Dealing in securities | 2021-11-23 | 2022-01-21 |
| Innovax Capital Limited 創陞融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-11-23 | 2022-02-11 |
| WRise Capital Limited 昇世資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-11-12 | 2021-06-12 |
| Apricot Capital (Hong Kong) Limited 金杏資本(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-11-12 | 2021-06-12 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2016-03-01 | 2018-09-26 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2015-10-20 | 2016-03-01 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-10-20 | 2018-09-26 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2014-08-21 | 2015-09-16 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 4 — Advising on securities | 2014-08-21 | 2015-09-16 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2014-01-23 | 2015-09-16 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-01-23 | 2015-09-16 |
| VC Brokerage Limited 滙盈證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-09-30 | 2014-01-09 |
| VC Capital Limited 滙盈融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-09-30 | 2014-01-09 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-07-28 | 2005-09-30 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-09-30 |