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PUN Siu Yeung

潘小陽
CE ACV278Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

PUN Siu Yeung (CE number ACV278) 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 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (7)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerCorporate Brokers Limited
協聯證券有限公司
Responsible OfficerCorporate Commodities Limited
協聯期貨有限公司

Licence Record (4)

2007-12-07 – present Current
Corporate Brokers Limited RO
RA 1
2006-01-10 – present Current
Corporate Commodities Limited RO
RA 2
2003-04-01 – 2007-12-07
Corporate Brokers Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2006-01-10
Corporate Commodities 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/ACV278