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DU Yan

杜岩
CE BVD629Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

DU Yan (CE number BVD629) is an individual licensed by the Hong Kong SFC. First licensed on 2024-11-13. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerBOCI Securities Limited
中銀國際證券有限公司

Licence Record (1)

2024-11-13 – present Current
BOCI Securities Limited RO
RA 1 RA 2 RA 4 RA 5

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/BVD629