Esther Sze Wing Yuen
袁詩穎
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Esther Sze Wing Yuen (袁詩穎), a licensed Responsible Officer with CE reference AMS885. Currently licensed at 2 firm(s): CLSA Limited, CITIC Securities (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 18.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2023-09-14 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2023-09-14 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2023-09-14 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2020-01-03 | 2023-09-14 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-11-29 | 2023-09-14 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-11-29 | 2023-09-14 |
| SPDB International Capital Limited 浦銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2017-05-11 | 2019-10-25 |
| SPDB International Capital Limited 浦銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-05-11 | 2019-10-25 |
| Bendura Wealth Management (Hong Kong) Limited 富地財富管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-06-11 | 2017-04-02 |
| Bendura Wealth Management (Hong Kong) Limited 富地財富管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-06-11 | 2017-04-02 |
| Bendura Wealth Management (Hong Kong) Limited 富地財富管理(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-06-11 | 2017-04-02 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2014-02-18 | 2015-05-22 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-10-25 | 2014-02-18 |
| China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-10-25 | 2015-05-22 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 — Dealing in securities | 2007-07-30 | 2013-09-13 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-07-30 | 2013-09-13 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2005-11-22 | 2007-06-30 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-11-22 | 2007-06-30 |