Andrew Ye Yan Gu
顧燁彥
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Ye Yan Gu (顧燁彥), a licensed Responsible Officer with CE reference ALQ626. Currently licensed at 1 firm(s): Thornburg Investment Management (Asia) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 9 — Asset management. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Thornburg Investment Management (Asia) Limited 尚渤投資管理(亞洲)有限公司 |
RO | Type 9 — Asset management | 2022-09-30 | present |
| Thornburg Investment Management (Asia) Limited 尚渤投資管理(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2020-10-20 | present |
| China International Capital Corporation Hong Kong Asset Management Limited 中國國際金融香港資產管理有限公司 |
Rep | Type 9 — Asset management | 2017-09-15 | 2019-04-02 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-07-19 | 2019-04-02 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-07-19 | 2019-04-02 |
| China International Capital Corporation Hong Kong Securities Limited 中國國際金融香港證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-07-19 | 2019-04-02 |
| China International Capital Corporation Hong Kong Futures Limited 中國國際金融香港期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | 2017-07-19 | 2019-04-02 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-12-08 | 2017-05-12 |
| CTI Capital Hong Kong Limited 中信信惠國際資本(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-03-16 | 2015-10-12 |
| CTI Capital Hong Kong Limited 中信信惠國際資本(香港)有限公司 |
Rep | Type 9 — Asset management | 2015-03-16 | 2015-10-12 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-02-14 | 2013-05-07 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2013-02-14 | 2013-05-07 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-19 | 2013-05-07 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2008-07-14 | 2010-03-25 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2008-07-14 | 2010-03-25 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-06-18 | 2010-03-25 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-06-18 | 2010-03-25 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-04-30 | 2009-11-23 |
| Bear Stearns Asia Limited 貝爾斯登亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-03-12 | 2009-11-23 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2007-04-09 | 2008-02-29 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-02-01 | 2007-03-09 |