Ye (SFC:BJK566) Yuan
袁野
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ye (SFC:BJK566) Yuan (袁野), a licensed Responsible Officer with CE reference BJK566. Currently licensed at 1 firm(s): Huatai Financial Holdings (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2026-04-24 | present |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2026-04-24 | present |
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2025-08-04 | 2025-12-15 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2025-08-04 | 2025-12-15 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2025-08-04 | 2025-12-15 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-11-19 | 2025-08-04 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-10-27 | 2025-08-04 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-10-27 | 2025-08-04 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2020-07-20 | 2021-09-17 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2020-07-20 | 2021-09-17 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-07-16 | 2020-06-27 |
| CMBC International Capital Limited 民銀資本有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-26 | 2020-06-27 |
| CMBC International Capital Limited 民銀資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-10-26 | 2020-06-27 |
| Kingsway Capital Limited 滙富融資有限公司 |
Rep | Type 1 — Dealing in securities | 2017-04-13 | 2017-09-29 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2017-04-13 | 2017-09-29 |
| Kingsway Capital Limited 滙富融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-04-13 | 2017-09-29 |