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HAU Wai Yin

侯煒然
CE BRN849Licensed IndividualSFO licence active
Official SFC record

HAU Wai Yin (CE number BRN849) is an individual licensed by the Hong Kong SFC. First licensed on 2021-08-09. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management), Type 10 (Credit rating).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management
RA 10 Providing Credit Rating Services

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeS&P Global Ratings Hong Kong Limited

Licence Record (2)

2021-12-02 – present Current
S&P Global Ratings Hong Kong Limited Rep
RA 10
2021-08-09 – 2021-10-08
Rockpool Capital Limited Rep
RA 1 RA 4 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/BRN849