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YAO Hua

姚華
CE AVD363Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

YAO Hua (CE number AVD363) is an individual licensed by the Hong Kong SFC. First licensed on 2010-07-21. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 3 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerOrient Asset Management (Hong Kong) Limited
東方資產管理(香港)有限公司
Responsible OfficerOrient Futures (Hong Kong) Limited
東方期貨(香港)有限公司
Responsible OfficerOrient Securities (Hong Kong) Limited
東方證券(香港)有限公司

Licence Record (3)

2022-01-28 – present Current
Orient Asset Management (Hong Kong) Limited RO
RA 4 RA 9
2011-02-28 – present Current
Orient Futures (Hong Kong) Limited RO
RA 2
2010-07-21 – present Current
Orient Securities (Hong Kong) Limited RO
RA 1 RA 4

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/AVD363