Yao (SFC:ALK994) Yao
姚嶢
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yao (SFC:ALK994) Yao (姚嶢), a licensed former licensee with CE reference ALK994. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
RO | Type 4 — Advising on securities | 2013-03-06 | 2018-05-28 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2011-12-14 | 2018-05-28 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 4 — Advising on securities | 2011-12-14 | 2013-03-06 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-05 | 2011-11-30 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 4 — Advising on securities | 2010-11-05 | 2011-11-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2010-08-16 | 2010-09-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2010-08-16 | 2010-09-30 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2004-11-11 | 2010-08-07 |