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YEUNG Wai Kin

楊偉堅
CE ACC364Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

YEUNG Wai Kin (CE number ACC364) 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 7 (Automated trading), 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 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerFirst Shanghai Investment Management (HK) Limited
第一上海投資管理(香港)有限公司
Responsible OfficerFirst Shanghai Securities Limited
第一上海證券有限公司

Licence Record (4)

2015-03-18 – present Current
First Shanghai Investment Management (HK) Limited RO
RA 4 RA 9
2003-04-01 – present Current
First Shanghai Securities Limited RO
RA 1 RA 4 RA 6 RA 7 RA 9
2010-05-31 – 2014-05-28
China Alpha Fund Management (HK) Limited RO
RA 4 RA 9
2006-05-30 – 2007-05-07
China Shenghai Investment Management Limited RO
RA 4 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/ACC364