Thomas Ho Fai Yip
葉浩暉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Ho Fai Yip (葉浩暉), a licensed former licensee with CE reference AXD289. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Redwood Asset Management Limited 紅木林資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2021-09-01 | 2022-02-08 |
| Redwood Asset Management Limited 紅木林資產管理有限公司 |
RO | Type 4 — Advising on securities | 2021-09-01 | 2022-02-08 |
| Redwood Asset Management Limited 紅木林資產管理有限公司 |
RO | Type 9 — Asset management | 2021-09-01 | 2022-02-08 |
| Redwood Asset Management Limited 紅木林資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2021-07-14 | 2021-09-01 |
| Redwood Asset Management Limited 紅木林資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-07-14 | 2021-09-01 |
| Sunfund Securities Limited 東皓證券有限公司 |
RO | Type 1 — Dealing in securities | 2020-11-12 | 2021-05-14 |
| Sunfund Securities Limited 東皓證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-08-27 | 2020-11-12 |
| Sunfund Fund Management Limited 東皓基金管理有限公司 |
RO | Type 9 — Asset management | 2018-11-02 | 2021-05-14 |
| Baiyi Capital (Asia) Limited 百益投資(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2018-04-23 | 2018-09-28 |
| Baiyi Capital (Asia) Limited 百益投資(亞洲)有限公司 |
RO | Type 9 — Asset management | 2018-04-23 | 2018-09-28 |
| Five States Capital Resources Limited 五洲資本有限公司 |
RO | Type 4 — Advising on securities | 2017-02-21 | 2018-02-23 |
| Five States Capital Resources Limited 五洲資本有限公司 |
RO | Type 9 — Asset management | 2017-02-21 | 2018-02-23 |
| Five States Capital Resources Limited 五洲資本有限公司 |
Rep | Type 9 — Asset management | 2017-02-01 | 2017-02-21 |
| GT Asset & Portfolio Management Limited 廣達資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2015-03-31 | 2016-10-26 |
| GT Asset & Portfolio Management Limited 廣達資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-03-31 | 2016-10-26 |
| CBH Asia Limited 瑞金亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2013-01-23 | 2014-12-02 |
| CBH Asia Limited 瑞金亞洲有限公司 |
Rep | Type 9 — Asset management | 2013-01-23 | 2014-12-02 |
| Athena Wealth Management Limited 智富財富管理有限公司 |
Rep | Type 9 — Asset management | 2012-07-11 | 2012-12-31 |
| Athena Wealth Management Limited 智富財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2011-12-16 | 2012-12-31 |
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2011-05-06 | 2011-10-31 |
| Harris Fraser (International) Limited 晉裕環球資產管理有限公司 |
Rep | Type 7 — Providing automated trading services | 2011-05-06 | 2011-08-30 |