Yam, David (SFC:ACJ708) 任卓偉
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 | CITIC Securities Brokerage (HK) Limited | RO | Automated trading services | 2004-03-11 | RO | Dealing in securities | 2004-06-10 | Rep | Dealing in securities | 2004-06-10 | 2005-08-24 | Rep | Dealing in securities | 2007-10-12 | 2007-11-12 |
| 2 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2003-06-06 | 2005-08-24 | Rep | Dealing in futures contracts | 2007-10-12 | 2007-11-12 |
| 3 | SBI China Capital Asset Management Limited | RO | Asset management | 2021-04-22 | 2022-03-23 |
| 4 | SBI China Capital Commodities Limited | Rep | Dealing in futures contracts | 2005-09-01 | 2007-10-02 | Rep | Dealing in futures contracts | 2007-11-30 | 2013-02-28 |
| 5 | SBI China Capital Financial Services Limited | Rep | Dealing in securities | 2005-10-06 | 2006-04-28 | RO | Dealing in securities | 2006-04-28 | 2007-10-02 | Rep | Dealing in securities | 2007-11-30 | 2008-04-23 | RO | Dealing in securities | 2008-04-23 | RO | Asset management | 2008-09-19 | RO | Advising on securities | 2021-11-08 |
| 6 | SBI China Capital Securities Limited | Rep | Dealing in securities | 2005-09-01 | 2006-06-29 | RO | Dealing in securities | 2006-06-29 | 2007-10-02 | RO | Asset management | 2007-02-07 | 2007-10-02 | Rep | Dealing in securities | 2007-11-30 | 2008-04-23 | RO | Asset management | 2008-04-23 | 2011-09-30 | RO | Dealing in securities | 2008-04-23 | 2011-09-30 |
| 7 | XINHUA INVESTMENT GROUP HONG KONG LIMITED | RO | Advising on securities | 2007-03-20 | 2007-09-30 |
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