Pok Man Yiu
姚博文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Pok Man Yiu (姚博文), a licensed Responsible Officer with CE reference ATW867. Currently licensed at 1 firm(s): Basel Capital Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Basel Capital Limited 巴塞爾資本有限公司 |
RO | Type 4 — Advising on securities | 2020-10-09 | present |
| Basel Capital Limited 巴塞爾資本有限公司 |
RO | Type 9 — Asset management | 2020-10-09 | present |
| Basel Capital Limited 巴塞爾資本有限公司 |
Rep | Type 4 — Advising on securities | 2020-08-24 | 2020-10-09 |
| Basel Capital Limited 巴塞爾資本有限公司 |
Rep | Type 9 — Asset management | 2020-08-24 | 2020-10-09 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
RO | Type 1 — Dealing in securities | 2017-09-27 | 2020-05-27 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
RO | Type 4 — Advising on securities | 2017-09-27 | 2020-05-27 |
| ROYAL MORGAN FUND MANAGEMENT CO. LIMITED 御摩基金管理有限公司 |
RO | Type 9 — Asset management | 2017-09-27 | 2020-05-27 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
RO | Type 1 — Dealing in securities | 2016-07-06 | 2017-02-28 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
RO | Type 4 — Advising on securities | 2016-07-06 | 2017-02-28 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
RO | Type 9 — Asset management | 2016-07-06 | 2017-02-28 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2015-06-25 | 2016-07-06 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
Rep | Type 4 — Advising on securities | 2014-10-08 | 2016-07-06 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
Rep | Type 9 — Asset management | 2014-10-08 | 2016-07-06 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-11 | 2013-08-30 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2011-07-11 | 2012-01-31 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-07-11 | 2013-08-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2010-03-05 | 2011-05-26 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2010-03-05 | 2011-05-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2010-03-05 | 2011-05-26 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2010-03-05 | 2011-05-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2010-02-23 | 2011-05-26 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2010-02-23 | 2011-05-26 |
| Beijing Securities Limited 北京證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2009-10-30 | 2010-02-13 |