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KAO Shu Yan

高樹人
CE AAK793Licensed IndividualSFO licence active
Official SFC record

KAO Shu Yan (CE number AAK793) 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 6 (Corporate finance), Type 9 (Asset management).

Regulated Activities (on record) (4)

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

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeKam Fai Securities Company Limited
金輝証券有限公司

Licence Record (2)

2003-07-31 – present Current
Kam Fai Securities Company Limited Rep
RA 1
2003-04-01 – 2003-07-30
Ark Securities (Hong Kong) Limited Rep
RA 1 RA 4 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/AAK793