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WOO Yik Yuen

胡翊遠
CE AND666Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

WOO Yik Yuen (CE number AND666) is an individual licensed by the Hong Kong SFC. First licensed on 2006-04-20. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 7 (Automated trading). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 7 Providing Automated Trading Services

Roles & Accreditations (4)

CapacityCompany / Institution
Responsible OfficerUBS Securities Asia Limited
Responsible OfficerUBS Securities Hong Kong Limited
RepresentativeUBS Securities Asia Limited
RepresentativeUBS Securities Hong Kong Limited

Licence Record (8)

2018-05-07 – present Current
UBS Securities Hong Kong Limited Rep
RA 2
2016-12-19 – present Current
UBS Securities Hong Kong Limited RO
RA 1 RA 7
2015-08-07 – present Current
UBS Securities Asia Limited RO
RA 1
2007-06-20 – present Current
UBS Securities Asia Limited Rep
RA 1 RA 2
2015-08-07 – 2016-12-18
UBS Securities Hong Kong Limited RO
RA 1 RA 7
2007-06-20 – 2015-08-07
UBS Securities Hong Kong Limited Rep
RA 1 RA 7
2006-04-20 – 2007-05-09
Morgan Stanley Asia Limited Rep
RA 1 RA 7
2006-04-20 – 2007-05-09
Morgan Stanley Hong Kong Futures Limited Rep
RA 2 RA 7

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/AND666