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ZHAO Ye

趙曄
CE BAD298Licensed IndividualSFO licence active
Official SFC record

ZHAO Ye (CE number BAD298) is an individual licensed by the Hong Kong SFC. First licensed on 2012-08-29. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeMUFG Securities Asia Limited
三菱日聯證券亞洲有限公司

Licence Record (3)

2013-09-16 – present Current
MUFG Securities Asia Limited Rep
RA 1 RA 4 RA 6
2013-05-16 – 2013-07-13
Oriental Patron Securities Limited Rep
RA 1
2012-08-29 – 2013-02-20
Barclays Capital Asia Limited Rep
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/BAD298