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YAU Ka Wing

邱家榮
CE ASL909Licensed IndividualSFO licence active
Official SFC record

YAU Ka Wing (CE number ASL909) is an individual licensed by the Hong Kong SFC. First licensed on 2009-03-10. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading

Roles & Accreditations (3)

CapacityCompany / Institution
RepresentativeEmperor Futures Limited
英皇期貨有限公司
RepresentativeEmperor International Exchange (Hong Kong) Company Limited
英皇金融集團(香港)有限公司
RepresentativeEmperor Securities Limited
英皇證券有限公司

Licence Record (4)

2020-11-20 – present Current
Emperor International Exchange (Hong Kong) Company Limited Rep
RA 3
2019-07-05 – present Current
Emperor Futures Limited Rep
RA 2
2015-09-22 – present Current
Emperor Securities Limited Rep
RA 1
2009-03-10 – 2009-07-01
Phillip Securities (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/ASL909