Wai Yin Law
羅慧妍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Yin Law (羅慧妍), a licensed Responsible Officer with CE reference ARH653. Currently licensed at 1 firm(s): Canfield Securities Company Limited . Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 10.
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 |
|---|---|---|---|---|
| Canfield Securities Company Limited 勤豐證券有限公司 |
RO | Type 1 — Dealing in securities | 2022-06-24 | present |
| Canfield Securities Company Limited 勤豐證券有限公司 |
RO | Type 9 — Asset management | 2022-06-24 | present |
| Canfield Securities Company Limited 勤豐證券有限公司 |
Rep | Type 4 — Advising on securities | 2021-11-17 | present |
| Canfield Securities Company Limited 勤豐證券有限公司 |
Rep | Type 9 — Asset management | 2021-11-17 | 2022-06-24 |
| Canfield Securities Company Limited 勤豐證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-10-27 | 2022-06-24 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-10-23 | 2021-10-07 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-10-23 | 2021-10-07 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 9 — Asset management | 2011-02-28 | 2019-08-09 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-08-14 | 2019-08-09 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-08-14 | 2019-08-09 |