Phillip Tk Yin
嚴正剛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Phillip Tk Yin (嚴正剛), a licensed former licensee with CE reference AMH295. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 1 — Dealing in securities | 2006-07-28 | 2007-09-04 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 4 — Advising on securities | 2006-07-28 | 2007-09-04 |
| Charles Schwab, Hong Kong, Limited 嘉信理財香港有限公司 |
Rep | Type 5 — Advising on futures contracts | 2006-07-28 | 2007-09-04 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2005-07-22 | 2005-10-07 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-07-22 | 2005-10-07 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-07-22 | 2005-10-07 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2005-07-22 | 2005-10-07 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2005-07-22 | 2005-10-07 |