Kam Ting Yim
嚴錦婷
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kam Ting Yim (嚴錦婷), a licensed former licensee with CE reference AUL591. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2018-08-07 | 2021-09-24 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-08-07 | 2021-09-24 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | 2018-08-07 | 2021-09-24 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-03-19 | 2018-08-07 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-03-19 | 2018-08-07 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2018-03-19 | 2018-08-07 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2018-03-19 | 2021-09-24 |
| CES Forex (HK) Limited 光證外匯（香港）有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2012-01-20 | 2015-03-28 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 9 — Asset management | 2011-05-06 | 2015-03-28 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-06-15 | 2015-03-28 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2009-12-31 | 2015-03-28 |