Yan Dou
竇艷
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan Dou (竇艷), a licensed former licensee with CE reference BBK495. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2015-06-24 | 2016-05-31 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2015-06-24 | 2016-05-31 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 9 — Asset management | 2015-06-24 | 2016-05-31 |
| Mage Securities Limited 明璣證券有限公司 |
Rep | Type 4 — Advising on securities | 2014-10-08 | 2015-06-08 |
| Head & Shoulders Asset Management Limited 聯合資產管理有限公司 |
Rep | Type 9 — Asset management | 2014-10-08 | 2015-06-08 |
| Mage Securities Limited 明璣證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-01 | 2015-06-08 |
| Caitong International Securities Co., Limited 財通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-01-15 | 2014-08-02 |