Chi Ho Yim
嚴志豪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Ho Yim (嚴志豪), a licensed Responsible Officer with CE reference AOD008. Currently licensed at 1 firm(s): Guangdong Capital Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 13.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guangdong Capital Securities Limited 粵資證券有限公司 |
RO | Type 1 — Dealing in securities | 2023-08-22 | present |
| Guangdong Capital Securities Limited 粵資證券有限公司 |
RO | Type 4 — Advising on securities | 2023-08-22 | present |
| Guangdong Capital Securities Limited 粵資證券有限公司 |
RO | Type 9 — Asset management | 2023-08-22 | present |
| West Bull Securities Limited 西牛證券有限公司 |
RO | Type 4 — Advising on securities | 2021-01-05 | 2023-07-28 |
| West Bull Securities Limited 西牛證券有限公司 |
RO | Type 9 — Asset management | 2020-04-29 | 2023-07-28 |
| West Bull Securities Limited 西牛證券有限公司 |
Rep | Type 9 — Asset management | 2018-09-12 | 2020-04-29 |
| West Bull Securities Limited 西牛證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-09-19 | 2023-07-28 |
| Vantage New Generation Securities Limited 新世代證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-11-01 | 2016-09-15 |
| North Beta International Securities Limited 北拓國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-08-19 | 2013-10-01 |
| Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-09 | 2009-08-11 |
| Tung Shing Futures (Brokers) Limited 東盛期貨(經紀)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-04-09 | 2009-08-11 |
| Celestial Securities Limited 時富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-11-01 | 2008-11-08 |
| Celestial Commodities Limited 時富商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-11-01 | 2008-11-08 |