Yam, Alvin Siu-Lun 任兆麟
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 | EXS Capital Asia Limited | Rep | Advising on securities | 2014-10-03 | 2015-07-20 | Rep | Asset management | 2014-10-03 | 2015-07-20 |
| 2 | HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2022-05-04 | 2022-08-29 |
| 3 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2022-05-04 | 2022-08-29 |
| 4 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Advising on securities | 2022-05-04 | 2022-08-29 | Rep | Dealing in securities | 2022-05-04 | 2022-08-29 |
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