Ming Kwan Yip
葉明君
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ming Kwan Yip (葉明君), a licensed Responsible Officer with CE reference BCZ943. Currently licensed at 1 firm(s): FWD Financial Planning Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| FWD Financial Planning Limited 富衛財務策劃有限公司 |
RO | Type 1 — Dealing in securities | 2023-09-15 | present |
| FWD Financial Planning Limited 富衛財務策劃有限公司 |
RO | Type 4 — Advising on securities | 2023-09-15 | present |
| FWD Financial Planning Limited 富衛財務策劃有限公司 |
Rep | Type 4 — Advising on securities | 2023-08-01 | 2023-09-15 |
| Philippa Huckle Group Limited, The | RO | Type 1 — Dealing in securities | 2020-05-21 | 2022-11-24 |
| Philippa Huckle Group Limited, The | RO | Type 4 — Advising on securities | 2020-05-21 | 2023-04-23 |
| Philippa Huckle Group Limited, The | RO | Type 9 — Asset management | 2020-05-21 | 2023-04-23 |
| Philippa Huckle Group Limited, The | Rep | Type 4 — Advising on securities | 2020-05-12 | 2020-05-21 |
| Philippa Huckle Group Limited, The | Rep | Type 9 — Asset management | 2020-05-12 | 2020-05-21 |
| Kaiser Capital Management Limited 嘉信資本管理有限公司 |
RO | Type 4 — Advising on securities | 2019-10-09 | 2020-04-01 |
| Kaiser Capital Management Limited 嘉信資本管理有限公司 |
RO | Type 9 — Asset management | 2019-10-09 | 2020-04-01 |
| Kaiser Capital Management Limited 嘉信資本管理有限公司 |
Rep | Type 4 — Advising on securities | 2019-09-19 | 2019-10-09 |
| Kaiser Capital Management Limited 嘉信資本管理有限公司 |
Rep | Type 9 — Asset management | 2019-09-19 | 2019-10-09 |
| Glenworth Capital Limited | RO | Type 4 — Advising on securities | 2018-10-18 | 2019-06-27 |
| Glenworth Capital Limited | RO | Type 9 — Asset management | 2018-10-18 | 2019-06-27 |
| Glenworth Capital Limited | Rep | Type 4 — Advising on securities | 2018-08-22 | 2018-10-18 |
| Glenworth Capital Limited | Rep | Type 9 — Asset management | 2018-08-22 | 2018-10-18 |
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-11-28 | 2018-08-14 |
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2017-11-28 | 2018-08-14 |
| China Asset Management (Hong Kong) Limited 華夏基金(香港)有限公司 |
Rep | Type 9 — Asset management | 2017-11-28 | 2018-08-14 |
| ICBC UBS Asset Management (International) Company Limited 工銀瑞信資產管理(國際)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-05-16 | 2017-11-08 |
| ICBC UBS Asset Management (International) Company Limited 工銀瑞信資產管理(國際)有限公司 |
Rep | Type 4 — Advising on securities | 2017-05-16 | 2017-11-08 |
| ICBC UBS Asset Management (International) Company Limited 工銀瑞信資產管理(國際)有限公司 |
Rep | Type 9 — Asset management | 2017-05-16 | 2017-11-08 |
| RHB Asset Management Limited 興業金融資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2014-02-27 | 2017-04-14 |
| RHB Asset Management Limited 興業金融資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2014-02-27 | 2017-04-14 |