Kai Yao
姚凱
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Yao (姚凱), a licensed Responsible Officer with CE reference ATS734. Currently licensed at 1 firm(s): Gold Mountains Asset Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Gold Mountains Asset Management Limited 金山資產管理有限公司 |
RO | Type 4 — Advising on securities | 2023-11-22 | present |
| Gold Mountains Asset Management Limited 金山資產管理有限公司 |
RO | Type 9 — Asset management | 2023-11-22 | present |
| Gold Mountains Asset Management Limited 金山資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2020-10-09 | 2023-11-22 |
| Gold Mountains Asset Management Limited 金山資產管理有限公司 |
Rep | Type 9 — Asset management | 2020-10-09 | 2023-11-22 |
| HSZ (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2014-05-29 | 2020-01-31 |
| HSZ (Hong Kong) Limited | Rep | Type 9 — Asset management | 2014-05-29 | 2020-01-31 |
| Broadway Wealth Management Limited 博偉財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2009-10-09 | 2010-06-18 |