Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

NIP Yiu Chuen

聶耀泉
CE ABY425Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

NIP Yiu Chuen (CE number ABY425) 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 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerFounder Asset Management (Hong Kong) Limited
方正資產管理(香港)有限公司
Responsible OfficerFounder Securities (Hong Kong) Limited
方正證券(香港)有限公司

Licence Record (13)

2021-02-25 – present Current
Founder Securities (Hong Kong) Limited RO
RA 1 RA 4
2021-02-25 – present Current
Founder Asset Management (Hong Kong) Limited RO
RA 4 RA 9
2021-02-25 – 2021-12-13
Founder Futures (Hong Kong) Limited RO
RA 2
2011-08-01 – 2021-01-25
Southwest Securities (HK) Asset Management Limited RO
RA 4 RA 9
2008-08-26 – 2021-01-25
Southwest Securities (HK) Brokerage Limited RO
RA 1 RA 4
2008-05-29 – 2008-08-26
Southwest Securities (HK) Brokerage Limited Rep
RA 1
2008-05-29 – 2021-01-25
Southwest Securities (HK) Futures Limited RO
RA 2
2008-05-15 – 2008-05-29
Southwest Securities (HK) Futures Limited Rep
RA 2
2007-06-26 – 2008-05-01
HGNH International Futures Co., Limited RO
RA 2
2005-04-25 – 2007-05-25
CSC Futures (HK) Limited RO
RA 2
2005-04-25 – 2007-05-25
CSC Securities (HK) Limited RO
RA 2
2003-12-15 – 2007-05-25
CSC Securities (HK) Limited Rep
RA 1
2003-04-01 – 2005-04-25
CSC Futures (HK) Limited Rep
RA 2 RA 5 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/ABY425