Thomas Ka Ming Yu
余家明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Ka Ming Yu (余家明), a licensed former licensee with CE reference AQI247. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Seaga International Limited 恒昇證券有限公司 |
Rep | Type 1 — Dealing in securities | 2022-05-11 | 2024-09-13 |
| Stifel Hong Kong Limited |
RO | Type 1 — Dealing in securities | 2020-10-15 | 2021-12-31 |
| Stifel Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2019-03-21 | 2020-10-15 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2008-01-22 | 2018-12-21 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2008-01-22 | 2018-12-21 |