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YAU Wing Man, Winnie

尤頴敏
CE ADO404Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

YAU Wing Man, Winnie (CE number ADO404) 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). Currently a responsible officer at 1 firm.

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 (2)

CapacityCompany / Institution
Responsible OfficerPulsar Capital Limited
脈搏資本有限公司
RepresentativePulsar Capital Limited
脈搏資本有限公司

Licence Record (10)

2020-06-08 – present Current
Pulsar Capital Limited RO
RA 6
2020-02-19 – present Current
Pulsar Capital Limited Rep
RA 1 RA 6
2015-03-27 – 2019-06-26
China Securities (International) Corporate Finance Company Limited RO
RA 6
2015-03-19 – 2019-06-26
China Securities (International) Corporate Finance Company Limited Rep
RA 1 RA 6
2011-08-22 – 2015-02-16
SDIC Securities (Hong Kong) Limited Rep
RA 1
2010-09-01 – 2015-02-16
SDIC Securities Corporate Finance (Hong Kong) Limited RO
RA 6
2009-08-24 – 2010-04-12
JW Capital Securities Limited RO
RA 6
2009-07-20 – 2009-08-24
JW Capital Securities Limited Rep
RA 6
2004-10-08 – 2009-06-30
CSC Asia Limited RO
RA 6
2003-04-01 – 2004-10-08
CSC Asia Limited Rep
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/ADO404