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HSIEH Ya-Hui

謝雅卉
CE ANN504Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

HSIEH Ya-Hui (CE number ANN504) is an individual licensed by the Hong Kong SFC. First licensed on 2006-07-26. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerSplentide Capital Limited
錦泓資本有限公司

Licence Record (9)

2019-04-26 – present Current
Splentide Capital Limited RO
RA 1 RA 4 RA 9
2019-03-21 – 2021-08-18
Splentide Capital Limited Rep
RA 1 RA 4 RA 9
2018-01-19 – 2018-11-30
Orient Asset Management (Hong Kong) Limited Rep
RA 9
2016-07-20 – 2018-11-30
Orient Securities (Hong Kong) Limited RO
RA 1
2015-08-24 – 2018-11-30
Orient Securities (Hong Kong) Limited Rep
RA 1 RA 4
2010-03-04 – 2013-02-21
Aisance Asset Management Limited Rep
RA 9
2010-01-18 – 2015-07-30
KGI Asia Limited Rep
RA 1 RA 4
2008-04-16 – 2015-07-30
KGI Wealth Management Limited Rep
RA 1
2006-07-26 – 2008-03-21
Beevest Securities Limited Rep
RA 1 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/ANN504