Yan Kei Ying
應仁基
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan Kei Ying (應仁基), a licensed Responsible Officer with CE reference AOV083. Currently licensed at 1 firm(s): Zhongtai International Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Zhongtai International Capital Limited 中泰國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2018-02-28 | present |
| Zhongtai International Capital Limited 中泰國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-02-28 | present |
| Zhongtai International Capital Limited 中泰國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2017-11-20 | 2018-02-28 |
| Zhongtai International Capital Limited 中泰國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-11-20 | 2018-02-28 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2016-01-05 | 2017-07-25 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2015-01-08 | 2016-01-05 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-12-23 | 2017-07-25 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-11-13 | 2014-12-23 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-29 | 2014-06-26 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-06-29 | 2014-06-26 |
| Guosen Securities (HK) Capital Company Limited 國信證券(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-04-20 | 2011-06-29 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-10-15 | 2011-03-21 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
Rep | Type 1 — Dealing in securities | 2007-06-04 | 2009-09-27 |
| Neutral Financial Holding Company Limited 中和金控有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-06-04 | 2009-09-27 |