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KEE Yuen Man, Carol

祁婉文
CE ADZ736Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

KEE Yuen Man, Carol (CE number ADZ736) 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 OfficerGrit Capital Limited
啟恒資產管理有限公司
Responsible OfficerGrit Securities Limited
啟恒證券有限公司

Licence Record (16)

2023-08-14 – present Current
Grit Securities Limited RO
RA 1
2023-05-17 – present Current
Grit Capital Limited RO
RA 4 RA 9
2022-01-24 – 2023-02-03
Shuangying Securities Limited RO
RA 1
2022-01-24 – 2023-02-03
Easy Fund Management Company Limited RO
RA 4 RA 9
2020-05-11 – 2021-11-28
China-Hong Kong Link Securities Company Limited RO
RA 1
2020-05-11 – 2021-11-28
China Hong Kong Link Asset Management Limited RO
RA 4 RA 9
2019-08-29 – 2020-01-23
Blooming Securities Limited RO
RA 1
2018-08-23 – 2018-12-18
Wansom Securities (Hong Kong) Limited RO
RA 1
2015-07-08 – 2018-01-31
Realord Asia Pacific Securities Limited RO
RA 1
2014-12-03 – 2015-07-07
Aristo Securities Limited RO
RA 1
2010-06-15 – 2014-09-22
Fulbright Securities Limited RO
RA 1
2009-08-06 – 2010-06-15
Fulbright Securities Limited Rep
RA 1
2008-06-17 – 2009-07-25
BOCOM International Securities Limited Rep
RA 1
2007-08-30 – 2008-06-07
Bright Smart Securities International (H.K.) Limited RO
RA 1
2004-01-17 – 2007-08-30
Bright Smart Securities International (H.K.) Limited Rep
RA 1
2003-04-01 – 2003-07-23
Shun Loong Securities Company Limited Rep
RA 1 RA 4 RA 6 RA 7 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/ADZ736