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YU Kun

于坤
CE AOT339Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

YU Kun (CE number AOT339) is an individual licensed by the Hong Kong SFC. First licensed on 2007-05-04. 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 2 firms.

Regulated Activities (on record) (3)

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

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerGuoyuan Asset Management (Hong Kong) Limited
國元資產管理(香港)有限公司
Responsible OfficerGuoyuan Securities Brokerage (Hong Kong) Limited
國元証券經紀(香港)有限公司

Licence Record (4)

2021-06-10 – present Current
Guoyuan Securities Brokerage (Hong Kong) Limited RO
RA 1 RA 4
2007-11-28 – present Current
Guoyuan Asset Management (Hong Kong) Limited RO
RA 4 RA 9
2011-04-12 – 2013-05-16
Yue Xiu Asset Management Limited RO
RA 9
2007-05-04 – 2015-06-12
Guoyuan Securities Brokerage (Hong Kong) Limited Rep
RA 1

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/AOT339