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HSIEH Wai Yin, Alvin

謝偉賢
CE AXC624Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

HSIEH Wai Yin, Alvin (CE number AXC624) is an individual licensed by the Hong Kong SFC. First licensed on 2011-04-18. 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 OfficerBaoJia Capital Limited
保嘉資本有限公司

Licence Record (6)

2022-01-17 – present Current
BaoJia Capital Limited RO
RA 4 RA 9
2018-02-27 – 2020-11-21
Yuan Tong Global Securities Limited Rep
RA 1
2017-12-20 – 2020-11-21
Yuan Tong Global Asset Management Limited RO
RA 9
2016-09-15 – 2017-12-15
Kirin Asset Management Limited RO
RA 9
2016-07-29 – 2016-09-15
Kirin Asset Management Limited Rep
RA 9
2011-04-18 – 2016-01-26
oOo Securities (HK) Group 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/AXC624