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HO Shuk Yee, Samantha

何淑懿
CE AAA935Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

HO Shuk Yee, Samantha (CE number AAA935) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerAltus Capital Limited
浩德融資有限公司
Responsible OfficerAltus Investments Limited

Licence Record (13)

2013-03-28 – present Current
Altus Investments Limited RO
RA 1
2013-03-28 – present Current
Altus Capital Limited RO
RA 4 RA 9
2013-05-23 – 2013-11-29
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) RO
RA 1 RA 4 RA 9
2013-05-23 – 2013-11-29
Legg Mason Asset Management Hong Kong Limited RO
RA 9
2013-04-29 – 2013-05-23
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) Rep
RA 1 RA 4 RA 9
2013-04-29 – 2013-05-23
Legg Mason Asset Management Hong Kong Limited Rep
RA 9
2013-02-01 – 2014-07-11
Altus Investments Limited Rep
RA 1
2013-02-01 – 2014-07-11
Altus Capital Limited Rep
RA 4 RA 9
2005-10-13 – 2012-09-01
Invesco Asset Management Asia Limited RO
RA 1
2005-10-13 – 2012-09-01
Invesco Hong Kong Limited (trading as Invesco Asia Pacific) RO
RA 1 RA 5 RA 9
2005-03-14 – 2005-10-13
Invesco Asset Management Asia Limited Rep
RA 1
2004-11-04 – 2012-09-01
Invesco Hong Kong Limited (trading as Invesco Asia Pacific) Rep
RA 1 RA 4 RA 5 RA 9
2003-04-01 – 2004-11-01
Manulife Investment Management (Hong Kong) Limited Rep
RA 1 RA 4 RA 5 RA 6 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AAA935