Yim, Nic Wan 嚴力耘
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 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on corporate finance | 2004-10-13 | Rep | Advising on securities | 2004-10-13 | Rep | Asset management | 2004-10-13 | Rep | Dealing in securities | 2012-03-13 | RO | Advising on securities | 2012-03-13 | RO | Dealing in securities | 2012-03-13 | Rep | Asset management | 2012-03-13 | 2017-07-14 | RO | Asset management | 2017-07-14 |
| 2 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | RO | Dealing in futures contracts | 2016-10-11 | |
| 3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Advising on futures contracts | 2004-10-13 | Rep | Asset management | 2004-10-13 | Rep | Dealing in futures contracts | 2012-03-13 | RO | Dealing in futures contracts | 2012-03-13 | 2016-10-10 |
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