Hoi San Yiong
楊海山
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hoi San Yiong (楊海山), a licensed Responsible Officer with CE reference AGT132. Currently licensed at 1 firm(s): Prominence Investment Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 40.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prominence Investment Management Limited 永坤資産管理有限公司 |
RO | Type 4 — Advising on securities | 2021-10-22 | present |
| Prominence Investment Management Limited 永坤資産管理有限公司 |
RO | Type 9 — Asset management | 2021-10-22 | present |
| Meyer Capital Group Limited 永堅資本集團有限公司 |
RO | Type 9 — Asset management | 2021-03-02 | 2021-09-30 |
| Meyer Capital Group Limited 永堅資本集團有限公司 |
Rep | Type 9 — Asset management | 2021-01-22 | 2021-03-02 |
| Xen Capital (HK) Limited 施源資本(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-11-15 | 2020-12-30 |
| Xen Capital (HK) Limited 施源資本(香港)有限公司 |
RO | Type 9 — Asset management | 2019-11-15 | 2020-12-30 |
| Xen Capital (HK) Limited 施源資本(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-11-04 | 2019-11-15 |
| Xen Capital (HK) Limited 施源資本(香港)有限公司 |
Rep | Type 9 — Asset management | 2019-11-04 | 2019-11-15 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2016-09-20 | 2018-01-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-09-20 | 2018-01-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 — Advising on securities | 2016-09-20 | 2018-01-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 9 — Asset management | 2016-09-20 | 2018-01-31 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-11-03 | 2016-09-20 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-11-03 | 2016-09-20 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-11-03 | 2016-09-20 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 9 — Asset management | 2015-11-03 | 2016-09-20 |
| Alphamax Asset Management (HK) Limited 利升資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2015-04-02 | 2015-08-21 |
| Old Peak Capital Limited 山頂資本有限公司 |
RO | Type 4 — Advising on securities | 2014-07-08 | 2015-02-10 |
| Old Peak Capital Limited 山頂資本有限公司 |
RO | Type 9 — Asset management | 2014-07-08 | 2015-02-10 |
| JS Cresvale Capital Limited 日盛嘉富資本有限公司 |
RO | Type 1 — Dealing in securities | 2011-06-02 | 2013-06-03 |
| JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 |
RO | Type 1 — Dealing in securities | 2011-06-02 | 2013-06-03 |
| JS Cresvale Capital Limited 日盛嘉富資本有限公司 |
RO | Type 9 — Asset management | 2011-06-02 | 2013-06-03 |
| JS Cresvale Capital Limited 日盛嘉富資本有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-18 | 2011-06-02 |
| JS Cresvale Securities International Limited 日盛嘉富證券國際有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-18 | 2011-06-02 |
| JS Cresvale Capital Limited 日盛嘉富資本有限公司 |
Rep | Type 9 — Asset management | 2011-05-18 | 2011-06-02 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2010-10-05 | 2011-04-06 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 5 — Advising on futures contracts | 2010-10-05 | 2011-04-06 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 9 — Asset management | 2010-10-05 | 2011-04-06 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-09-05 | 2009-10-16 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-04-18 | 2007-08-13 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-06-21 | 2006-03-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-03-01 | 2006-03-01 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-31 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-31 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-31 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-31 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-31 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-31 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-31 |
| RBS Asia Securities (Hong Kong) Limited 蘇皇證券亞洲(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-31 |