Katherine Ka Ki Wan
溫嘉祺
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Katherine Ka Ki Wan (溫嘉祺), a licensed Responsible Officer with CE reference APY872. Currently licensed at 1 firm(s): Protium Capital Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Protium Capital Limited 寧遠資本有限公司 |
RO | Type 4 — Advising on securities | 2024-05-03 | present |
| Protium Capital Limited 寧遠資本有限公司 |
RO | Type 9 — Asset management | 2024-05-03 | present |
| Protium Capital Limited 寧遠資本有限公司 |
Rep | Type 4 — Advising on securities | 2024-03-28 | 2024-05-03 |
| Protium Capital Limited 寧遠資本有限公司 |
Rep | Type 9 — Asset management | 2024-03-28 | 2024-05-03 |
| Hua Liang Securities Limited 華量證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-11-17 | 2023-08-14 |
| Hua Liang Asset Management Limited 華量資產管理有限公司 |
RO | Type 4 — Advising on securities | 2020-11-17 | 2023-08-14 |
| Hua Liang Asset Management Limited 華量資產管理有限公司 |
RO | Type 9 — Asset management | 2020-11-17 | 2023-08-14 |
| Blue Ocean Asset Management Limited 藍海資產管理有限公司 |
RO | Type 9 — Asset management | 2015-09-09 | 2020-09-30 |
| Aspen Crest Partners (HK) Limited | RO | Type 9 — Asset management | 2013-09-27 | 2014-01-31 |
| Aspen Crest Partners (HK) Limited | Rep | Type 9 — Asset management | 2013-07-02 | 2013-09-27 |
| China Value Investment Limited 中國價值投資有限公司 |
RO | Type 9 — Asset management | 2008-09-29 | 2011-02-28 |
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2007-11-05 | 2008-03-11 |