Yam, Chak Sun 任澤新
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 | Alliance Capital Partners Limited (HK) | Rep | Advising on corporate finance | 2016-11-18 | 2017-03-10 |
| 2 | CCB INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2017-04-03 | 2019-08-01 | Rep | Advising on securities | 2017-04-03 | 2019-08-01 | Rep | Dealing in securities | 2017-04-03 | 2019-08-01 |
| 3 | CEB International Capital Corporation Limited | Rep | Advising on corporate finance | 2023-03-27 | 2023-05-22 | Rep | Dealing in securities | 2023-03-27 | 2023-05-22 | RO | Advising on corporate finance | 2023-05-22 | RO | Advising on securities | 2023-05-22 | RO | Dealing in securities | 2023-05-22 |
| 4 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Advising on corporate finance | 2021-03-29 | 2021-06-11 | RO | Advising on corporate finance | 2021-06-11 | 2022-10-27 | Rep | Dealing in securities | 2022-07-08 | 2022-10-27 |
| 5 | Fosun International Securities Limited | Rep | Advising on corporate finance | 2019-08-21 | 2020-03-10 | Rep | Dealing in securities | 2019-08-21 | 2020-03-10 | Rep | Advising on securities | 2019-08-21 | 2021-03-08 | RO | Advising on corporate finance | 2020-03-10 | 2021-03-08 | RO | Dealing in securities | 2020-03-10 | 2021-03-08 |
| 6 | Lego Corporate Finance Limited | Rep | Advising on corporate finance | 2016-06-08 | 2016-06-19 |
| 7 | RHB CAPITAL HONG KONG LIMITED | Rep | Advising on corporate finance | 2014-10-24 | 2016-05-13 | Rep | Dealing in securities | 2014-10-24 | 2016-05-13 |
| 8 | YU MING INVESTMENT MANAGEMENT LIMITED | Rep | Advising on corporate finance | 2011-11-10 | 2014-07-31 | Rep | Advising on securities | 2011-11-10 | 2014-07-31 | Rep | Asset management | 2011-11-10 | 2014-07-31 | Rep | Dealing in securities | 2011-11-10 | 2014-07-31 |
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