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YIU Pok Man

姚博文
CE ATW867Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

YIU Pok Man (CE number ATW867) is an individual licensed by the Hong Kong SFC. First licensed on 2009-10-30. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerBasel Capital Limited
巴塞爾資本有限公司

Licence Record (10)

2020-10-09 – present Current
Basel Capital Limited RO
RA 4 RA 9
2020-08-24 – 2020-10-09
Basel Capital Limited Rep
RA 4 RA 9
2017-09-27 – 2020-05-27
ROYAL MORGAN FUND MANAGEMENT CO. LIMITED RO
RA 1 RA 4 RA 9
2016-07-06 – 2017-02-28
Ark Group Holdings (Hong Kong) Limited RO
RA 1 RA 4 RA 9
2014-10-08 – 2016-07-06
Ark Group Holdings (Hong Kong) Limited Rep
RA 1 RA 4 RA 9
2011-07-11 – 2013-08-30
Citigroup Global Markets Asia Limited Rep
RA 1 RA 6
2011-07-11 – 2012-01-31
Citigroup Global Markets Hong Kong Futures and Securities Limited Rep
RA 1
2010-02-23 – 2011-05-26
Merrill Lynch (Asia Pacific) Limited Rep
RA 1 RA 4 RA 6
2010-02-23 – 2011-05-26
Merrill Lynch Far East Limited Rep
RA 1 RA 4 RA 6
2009-10-30 – 2010-02-13
Beijing Securities Limited Rep
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/ATW867