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YAU Yung Wa

游榕華
CE ADZ532Licensed IndividualSFO licence active
Official SFC record

YAU Yung Wa (CE number ADZ532) 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 6 (Corporate finance), Type 9 (Asset management).

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeChina Merchants Securities (HK) Co., Limited
招商證券(香港)有限公司

Licence Record (4)

2006-03-20 – present Current
China Merchants Securities (HK) Co., Limited Rep
RA 1
2009-01-19 – 2010-01-20
China Merchants Futures (HK) Co., Limited Rep
RA 2
2005-08-02 – 2006-03-16
BOCOM International Holdings Company Limited Rep
RA 1
2003-04-01 – 2005-08-02
Tung Shing Securities (Brokers) 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/ADZ532