Yim, Kwok Man 嚴國文
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 | CSI Corporate Finance (HK) Limited | Rep | Asset management | 2003-12-31 | Rep | Advising on securities | 2004-07-30 | Rep | Advising on corporate finance | 2005-09-27 | Rep | Dealing in securities | 2005-09-27 |
| 2 | DBS ASIA CAPITAL LIMITED | Rep | Advising on corporate finance | 2005-10-07 | 2006-05-26 | Rep | Advising on securities | 2005-10-07 | 2006-05-26 | Rep | Dealing in securities | 2005-10-07 | 2006-05-26 |
| 3 | GALAXY ASSET MANAGEMENT (H.K.) LIMITED | Rep | Advising on securities | 2010-02-03 | 2011-09-01 | Rep | Asset management | 2010-02-03 | 2011-09-01 | Rep | Advising on futures contracts | 2015-07-28 | 2023-11-28 | Rep | Advising on securities | 2015-07-28 | 2023-11-28 | Rep | Asset management | 2015-07-28 | 2023-11-28 |
| 4 | Odysseus Capital Asia Limited | RO | Advising on corporate finance | 2009-10-29 | 2014-07-29 |
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