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TSUI Sing Yam

徐星任
CE BRO927Licensed IndividualSFO licence active
Official SFC record

TSUI Sing Yam (CE number BRO927) is an individual licensed by the Hong Kong SFC. First licensed on 2021-08-12. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeNorthern Trust Company of Hong Kong Limited, The

Licence Record (3)

2023-09-28 – present Current
Northern Trust Company of Hong Kong Limited, The Rep
RA 1 RA 4 RA 9
2023-05-23 – 2023-08-28
Harvest Global Investments Limited Rep
RA 1 RA 4 RA 9
2021-08-12 – 2023-05-08
Hang Seng Investment Management Limited Rep
RA 1 RA 4 RA 5 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/BRO927