Yan Taw Boon
溫演道
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan Taw Boon (溫演道), a licensed Responsible Officer with CE reference AXQ380. Currently licensed at 1 firm(s): Neuberger Berman Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 7.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Neuberger Berman Asia Limited | RO | Type 1 — Dealing in securities | 2022-09-29 | present |
| Neuberger Berman Asia Limited | RO | Type 4 — Advising on securities | 2022-09-29 | present |
| Neuberger Berman Asia Limited | RO | Type 9 — Asset management | 2022-09-29 | present |
| Neuberger Berman Asia Limited | Rep | Type 9 — Asset management | 2018-04-13 | 2022-09-29 |
| Neuberger Berman Asia Limited | Rep | Type 1 — Dealing in securities | 2013-11-05 | 2022-09-29 |
| Neuberger Berman Asia Limited | Rep | Type 4 — Advising on securities | 2013-11-05 | 2022-09-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-07-15 | 2013-10-12 |