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HON Sau Yee, Kenneth

韓守義
CE AJI837Licensed IndividualResponsible OfficerExecutive OfficerSFO licence active
Official SFC record

HON Sau Yee, Kenneth (CE number AJI837) is an individual licensed by the Hong Kong SFC. First licensed on 2004-01-05. 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). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerHSBC Securities Brokers (Asia) Limited
滙豐證券經紀(亞洲)有限公司
Executive OfficerHongkong and Shanghai Banking Corporation Limited, The
香港上海滙豐銀行有限公司

Licence Record (14)

2023-04-27 – present Current
HSBC Securities Brokers (Asia) Limited RO
RA 1
2022-10-14 – 2023-04-27
HSBC Securities Brokers (Asia) Limited Rep
RA 1
2016-06-15 – 2022-07-29
Credit Suisse (Hong Kong) Limited RO
RA 1 RA 2
2016-06-15 – 2022-07-29
Credit Suisse Securities (Hong Kong) Limited RO
RA 1
2016-04-15 – 2022-07-29
Credit Suisse (Hong Kong) Limited Rep
RA 1 RA 2 RA 4
2016-04-15 – 2016-06-15
Credit Suisse Securities (Hong Kong) Limited Rep
RA 1
2012-10-05 – 2016-04-01
Standard Chartered Securities (Hong Kong) Limited RO
RA 1 RA 2 RA 4 RA 5
2012-06-19 – 2012-10-05
Standard Chartered Securities (Hong Kong) Limited Rep
RA 1 RA 4
2011-06-02 – 2012-03-21
Deutsche Securities Asia Limited RO
RA 1 RA 2 RA 4 RA 5
2010-04-28 – 2011-06-02
Deutsche Securities Asia Limited Rep
RA 1 RA 2
2008-09-17 – 2010-02-22
Citigroup Global Markets Asia Limited RO
RA 1
2008-09-17 – 2010-02-22
Citigroup Global Markets Hong Kong Futures and Securities Limited RO
RA 2
2004-01-05 – 2008-09-17
Citigroup Global Markets Asia Limited Rep
RA 1
2004-01-05 – 2008-09-17
Citigroup Global Markets Hong Kong Futures and Securities Limited Rep
RA 2

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/AJI837