Yam, Vincent Wai Yuen 任維淵
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.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | CHINA EVERBRIGHT ASSETS MANAGEMENT LIMITED | Rep | Advising on securities | 2016-10-18 | 2017-05-13 | Rep | Asset management | 2016-10-18 | 2017-05-13 |
2 | GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2018-04-25 | |
3 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2018-04-11 | 2022-06-28 | Rep | Dealing in securities | 2018-04-25 | 2022-06-28 | RO | Advising on securities | 2022-06-28 | RO | Dealing in securities | 2022-06-28 |
4 | Merrill Lynch (Asia Pacific) Limited | Rep | Asset management | 2005-01-25 | Rep | Advising on corporate finance | 2005-03-23 | Rep | Advising on securities | 2005-03-23 | Rep | Automated trading services | 2005-03-23 | Rep | Dealing in securities | 2013-04-27 |
5 | Merrill Lynch Far East Limited | Rep | Asset management | 2005-01-25 | Rep | Advising on corporate finance | 2005-03-23 | Rep | Advising on securities | 2005-03-23 | Rep | Dealing in securities | 2013-04-27 | Rep | Dealing in futures contracts | 2010-11-15 | 2013-04-27 |
6 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-03-20 | 2010-11-15 |
7 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2013-08-05 | 2015-01-21 | Rep | Dealing in securities | 2013-08-05 | 2015-01-21 |
8 | Pamirs Capital (H.K.) Limited | Rep | Advising on securities | 2017-07-11 | 2017-12-29 | Rep | Asset management | 2017-07-11 | 2017-12-29 |
9 | Segantii Capital Management Limited | Rep | Asset management | 2015-07-08 | 2016-02-16 |
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