Yu (SFC:AVY463) Zeng
曾昱
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yu (SFC:AVY463) Zeng (曾昱), a licensed former licensee with CE reference AVY463. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Austin Asia Securities Limited 新港亞洲證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-09-06 | 2019-03-29 |
| Austin Asia Securities Limited 新港亞洲證券有限公司 |
RO | Type 4 — Advising on securities | 2018-04-11 | 2019-03-29 |
| Austin Asia Securities Limited 新港亞洲證券有限公司 |
RO | Type 9 — Asset management | 2018-04-11 | 2019-03-29 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2016-03-07 | 2017-05-01 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2014-12-12 | 2017-05-01 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
RO | Type 9 — Asset management | 2014-12-12 | 2017-05-01 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2012-05-03 | 2016-03-07 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-11 | 2014-12-12 |
| CCB International Asset Management Limited 建銀國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-01-21 | 2014-12-12 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-24 | 2010-12-09 |
| CCB International Capital Limited 建銀國際金融有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-09-24 | 2010-12-09 |