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WANG Yan

王妍
CE BCZ172Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

WANG Yan (CE number BCZ172) is an individual licensed by the Hong Kong SFC. First licensed on 2014-02-25. Their SFC licence is currently active. Accredited for regulated activities Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerGL China Equity HK Management Limited

Licence Record (4)

2021-11-23 – present Current
GL China Equity HK Management Limited RO
RA 4 RA 9
2021-08-31 – 2021-11-23
GL China Equity HK Management Limited Rep
RA 4 RA 9
2015-03-02 – 2021-04-25
China Asset Management (Hong Kong) Limited Rep
RA 4 RA 9
2014-02-25 – 2014-10-13
Rakuten Securities Hong Kong Limited Rep
RA 3

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/BCZ172