Yam, Kam Shing 任錦成
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 | Dongxing Securities (Hong Kong) Company Limited | RO | Advising on corporate finance | 2013-12-23 | 2016-02-14 | RO | Dealing in securities | 2014-10-07 | 2016-02-14 |
| 2 | EVOLUTION ASIA INVESTMENTS LIMITED | RO | Advising on corporate finance | 2010-11-22 | 2012-10-03 | RO | Advising on securities | 2010-11-22 | 2012-10-03 | RO | Dealing in securities | 2010-11-22 | 2012-10-03 |
| 3 | FE SECURITIES LIMITED | Rep | Automated trading services | 2003-07-21 | Rep | Asset management | 2005-02-01 | Rep | Advising on corporate finance | 2005-06-17 | Rep | Advising on securities | 2005-06-17 | Rep | Dealing in securities | 2005-06-17 | RO | Advising on corporate finance | 2005-06-17 | 2010-11-22 | RO | Advising on securities | 2005-06-17 | 2010-11-22 | RO | Dealing in securities | 2005-06-17 | 2010-11-22 |
| 4 | FIRST EASTERN INVESTMENTS LIMITED | RO | Advising on securities | 2016-11-04 | 2017-08-31 | RO | Asset management | 2016-11-04 | 2017-08-31 |
| 5 | FRONTIER CAPITAL INVESTMENT LIMITED | RO | Advising on corporate finance | 2013-01-29 | 2013-09-30 | RO | Advising on securities | 2013-01-29 | 2013-09-30 | RO | Dealing in securities | 2013-01-29 | 2013-09-30 |
| 6 | Ming Yang Capital Limited | RO | Advising on securities | 2019-08-19 | 2022-05-13 | RO | Asset management | 2019-08-19 | 2022-05-13 |
| 7 | Soteria Asset Management Limited | RO | Asset management | 2022-05-16 | RO | Advising on securities | 2022-11-11 |
| 8 | Sun Wing International Asset Management Limited | RO | Advising on securities | 2017-09-05 | 2019-03-15 | RO | Asset management | 2017-09-05 | 2019-03-15 |
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