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KO Siu Yin

高少賢
CE AFU985Licensed IndividualSFO licence active
Official SFC record

KO Siu Yin (CE number AFU985) 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).

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
RepresentativeCITIC Securities Brokerage (HK) Limited
中信証券經紀(香港)有限公司
RepresentativeCITIC Securities Futures (HK) Limited
中信証券期貨(香港)有限公司

Licence Record (7)

2019-12-04 – present Current
CITIC Securities Brokerage (HK) Limited Rep
RA 1
2019-12-04 – present Current
CITIC Securities Futures (HK) Limited Rep
RA 2
2017-02-13 – 2019-11-15
SinoPac Securities (Asia) Limited Rep
RA 1 RA 2
2003-08-13 – 2017-02-12
Tung Shing Securities (Brokers) Limited Rep
RA 1
2003-08-13 – 2017-02-12
Tung Shing Futures (Brokers) Limited Rep
RA 2
2003-04-01 – 2003-08-12
Everbright Securities Investment Services (HK) Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2003-08-12
CES Commodities (HK) 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/AFU985