YAU WAI INTERNATIONAL ASSET MANAGEMENT COMPANY LIMITED 有為國際資產管理有限公司. Key Data; Officers; Overlaps; SFC licenses; ESS

SFC licenses Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

The Eastern Magistracy has found Mr Lung Yau Wai, former director of NCA International Holdings Limited (NCA), not guilty of an offence of being a party to NCA in holding itself out as carrying on a business of regulated activities without a licence by the Securities and Futures Commission (Notes 1 & 2).

2023年11月24日 · 邱伟文 (Philip Yau Wai Man)在2017年7月17日至2023年2月6日期间担任尚乘环球营运监控与检讨、风险管理和财务与会计的核心职能主管；在2018年3月19日至2023年2月6日期间担任尚乘环球信息科技的核心职能主管；及在2019年3月4日至2023年2月6日期间担任尚乘环球打击洗钱及恐怖分子资金筹集的核心职能主管。 邱在2016年12月19日至2019年12月31日期间为尚乘环球的董事。 施晓纶 (See Hiu Lun)在2021年4月16日至2023年2月9日期间为尚乘环球的紧 …

2023年11月23日 · Yau was AMTD’s MIC for operational control and review, risk management, and finance and accounting from 17 July 2017 to 6 February 2023, AMTD’s MIC for information technology from 19 March 2018 to 6 February 2023 and AMTD’s MIC for anti-money laundering and counter-terrorist financing from 4 March 2019 to 6 February 2023.

2020年1月6日 · The Eastern Magistrates’ Court today convicted Mr Yau Ka Fai for holding himself out as carrying on a business in asset management without a licence from the Securities and Futures Commission (SFC) (Notes 1 & 2). Yau pleaded guilty and the case was adjourned to 16 January 2020 for sentencing.

SFC Licences of YAU Wai Ching 尤偉正 . Source: Official SFC record Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Milestone Sep 2019 – Type 1, 4 & 9 licence granted by SFC Oct 2019 – Formally established 2020 to 2021 – Investment volume over USD300M

SFC licenses Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

LAM Wai Ho AVS360: Licensed Representative 4, 5: LAU Cheong BFA120: Licensed Representative 4: LAU Hing Bun AGW616: Licensed Representative 1: LAU Ka Ki BIJ843: Licensed Representative 1: LAU Yau Wai, Jimmy AHS952: Licensed Representative 2: LAW Kwai Yee BHZ142: Licensed Representative 1: LEE Chak Man Edward BHO953: Licensed Representative 1 ...