Tzu Han Yen
嚴子涵
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tzu Han Yen (嚴子涵), a licensed Representative with CE reference ANL837. Currently licensed at 1 firm(s): Morgan Stanley Asia Limited. Active regulated activities: Type 6 — Advising on corporate finance. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-04-28 | present |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-06-25 | 2019-07-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2013-06-25 | 2019-07-04 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-05-24 | 2011-11-26 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-05-24 | 2011-11-26 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-05-24 | 2011-11-26 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-03-07 | 2007-05-09 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-03-07 | 2007-05-09 |
| Everbright Securities Global (HK) Limited 光大證券環球（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2006-05-30 | 2006-11-17 |
| Everbright Securities Global (HK) Limited 光大證券環球（香港）有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-05-30 | 2006-11-17 |