Yen, David Tai Wai 閻大偉
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 | ABCI Securities Company Limited | Rep | Advising on securities | 2003-10-29 | Rep | Asset management | 2003-10-29 | Rep | Automated trading services | 2003-10-29 | Rep | Advising on corporate finance | 2005-02-01 | Rep | Dealing in securities | 2005-02-01 |
| 2 | AP Asset Management (HK) Limited | Rep | Dealing in securities | 2005-06-09 | 2005-11-01 | Rep | Advising on securities | 2005-08-11 | 2005-11-01 | Rep | Asset management | 2005-08-11 | 2005-11-01 |
| 3 | CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Dealing in futures contracts | 2008-03-10 | 2009-11-01 |
| 4 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Dealing in securities | 2008-03-10 | 2008-05-20 | Rep | Advising on securities | 2008-03-10 | 2008-07-28 | RO | Dealing in securities | 2008-05-20 | 2009-11-01 |
| 5 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2005-04-27 | 2005-05-20 |
| 6 | RHB FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2007-06-12 | 2008-01-07 |
| 7 | RHB SECURITIES HONG KONG LIMITED | Rep | Advising on securities | 2007-06-12 | 2008-01-07 | Rep | Dealing in securities | 2007-06-12 | 2008-01-07 |
| 8 | SOUTH CHINA COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2005-11-28 | 2007-06-01 |
| 9 | SOUTH CHINA RESEARCH LIMITED | Rep | Advising on securities | 2005-11-17 | 2007-06-01 |
| 10 | SOUTH CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2005-11-17 | 2007-06-01 |
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