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YAN Tao

嚴濤
CE BNY700Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

YAN Tao (CE number BNY700) is an individual licensed by the Hong Kong SFC. First licensed on 2019-01-11. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerGuosen Securities (HK) Brokerage Company, Limited
國信證券(香港)經紀有限公司
RepresentativeGuosen Securities (HK) Brokerage Company, Limited
國信證券(香港)經紀有限公司

Licence Record (4)

2024-12-05 – present Current
Guosen Securities (HK) Brokerage Company, Limited RO
RA 2
2023-06-14 – present Current
Guosen Securities (HK) Brokerage Company, Limited Rep
RA 1 RA 2
2019-01-11 – 2023-01-31
Central China International Securities Co., Limited Rep
RA 1
2019-01-11 – 2023-01-31
Central China International Futures Company Limited Rep
RA 2

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/BNY700