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YUEN Ka Yat

袁嘉逸
CE ALA314Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

YUEN Ka Yat (CE number ALA314) is an individual licensed by the Hong Kong SFC. First licensed on 2004-09-17. 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 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible Officer18 Salisbury Capital Limited
18賽利資本有限公司

Licence Record (7)

2021-08-27 – present Current
18 Salisbury Capital Limited RO
RA 4 RA 9
2018-07-18 – 2021-03-31
Mizuho Securities Asia Limited Rep
RA 1 RA 4 RA 6 RA 9
2015-06-19 – 2018-03-30
Credit Suisse (Hong Kong) Limited Rep
RA 1 RA 2
2015-06-19 – 2018-03-30
Credit Suisse Securities (Hong Kong) Limited Rep
RA 1 RA 7
2009-07-02 – 2015-06-12
LIM Advisors Limited Rep
RA 9
2007-11-22 – 2009-03-30
Sculptor Capital Management Hong Kong Limited Rep
RA 9
2004-09-17 – 2007-10-04
Goldman Sachs (Asia) L.L.C. Rep
RA 1 RA 6

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/ALA314