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CHENG Pui Yan

鄭珮欣
CE AEQ438Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

CHENG Pui Yan (CE number AEQ438) is an individual licensed by the Hong Kong SFC. First licensed on 2005-08-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 4 Advising on Securities

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerNeuberger Berman Asia Limited

Licence Record (5)

2020-12-04 – present Current
Neuberger Berman Asia Limited RO
RA 1 RA 4
2014-06-16 – 2020-12-04
Neuberger Berman Asia Limited Rep
RA 1 RA 4
2013-05-03 – 2014-06-06
BNY Mellon Investment Management Hong Kong Limited Rep
RA 1 RA 4
2011-08-04 – 2013-04-24
JPMorgan Funds (Asia) Limited Rep
RA 1
2005-08-01 – 2011-08-01
Baring Asset Management (Asia) Limited Rep
RA 1 RA 4

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/AEQ438