Ka Fat Yim
嚴家發
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Fat Yim (嚴家發), a licensed former licensee with CE reference AJC615. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 6 — Advising on corporate finance | 2007-07-05 | 2018-09-01 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2005-12-29 | 2014-06-30 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2005-12-29 | 2014-06-30 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 5 — Advising on futures contracts | 2005-12-29 | 2014-06-30 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
RO | Type 9 — Asset management | 2005-12-29 | 2014-06-30 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2005-11-28 | 2018-09-01 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 4 — Advising on securities | 2005-11-28 | 2018-09-01 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 5 — Advising on futures contracts | 2005-11-28 | 2018-09-01 |
| BOCI-Prudential Asset Management Limited 中銀國際英國保誠資產管理有限公司 |
RO | Type 9 — Asset management | 2005-11-28 | 2018-09-01 |