Charlotte Sau Fan Yen
任秀芬
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charlotte Sau Fan Yen (任秀芬), a licensed former licensee with CE reference ANF039. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Red Sun Capital Limited 紅日資本有限公司 |
RO | Type 1 — Dealing in securities | 2020-11-10 | 2021-06-30 |
| Red Sun Capital Limited 紅日資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-11-10 | 2021-06-30 |
| Red Sun Capital Limited 紅日資本有限公司 |
Rep | Type 1 — Dealing in securities | 2020-10-09 | 2020-11-10 |
| Red Sun Capital Limited 紅日資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2020-10-09 | 2020-11-10 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
RO | Type 1 — Dealing in securities | 2019-03-11 | 2020-09-30 |
| First Prosperous Capital Company Limited 瀚盛資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-03-11 | 2020-09-30 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
RO | Type 1 — Dealing in securities | 2012-03-06 | 2019-01-01 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-03-06 | 2019-01-01 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
Rep | Type 1 — Dealing in securities | 2011-11-29 | 2012-03-06 |
| Yunfeng Financial Markets Limited 雲鋒金融市場有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-11-29 | 2012-03-06 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
RO | Type 1 — Dealing in securities | 2008-07-15 | 2011-10-15 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2008-07-15 | 2011-10-15 |
| RHB Capital Hong Kong Limited 興業金融融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-05-02 | 2008-07-15 |
| KPMG Corporate Finance Limited 畢馬威企業財務有限公司 |
RO | Type 6 — Advising on corporate finance | 2006-06-03 | 2008-04-19 |