Tao Hop Yim
嚴道合
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tao Hop Yim (嚴道合), a licensed Representative with CE reference AOX044. Currently licensed at 1 firm(s): Harmony Wealth Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Harmony Wealth Management Limited 匯晉資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2024-04-15 | present |
| Harmony Wealth Management Limited 匯晉資產管理有限公司 |
Rep | Type 9 — Asset management | 2024-04-15 | present |
| Dresdner Kleinwort Securities (Asia) Limited 德利佳華證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-05-09 | 2009-08-31 |
| Dresdner Kleinwort Securities (Asia) Limited 德利佳華證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2007-05-09 | 2009-08-31 |