Lui, Yim Yin 雷艷燕
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 | CAIIS Limited | Rep | Advising on securities | 2016-06-23 | 2018-02-01 | Rep | Dealing in securities | 2016-06-23 | 2018-02-01 |
| 2 | FT Securities Limited | Rep | Advising on corporate finance | 2004-05-14 | Rep | Advising on securities | 2004-05-14 | Rep | Asset management | 2004-05-14 | Rep | Dealing in securities | 2010-10-31 | Rep | Advising on futures contracts | 2005-09-30 | 2010-10-31 | Rep | Dealing in futures contracts | 2005-09-30 | 2010-10-31 |
| 3 | JEFFERIES BACHE (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2004-05-14 | Rep | Asset management | 2004-05-14 | Rep | Dealing in futures contracts | 2005-10-04 |
| 4 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2010-11-30 | 2013-05-18 | Rep | Advising on securities | 2011-11-30 | 2013-05-18 |
| 5 | RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | Advising on futures contracts | 2010-11-01 | 2010-11-01 | Rep | Advising on securities | 2010-11-01 | 2010-11-01 | Rep | Dealing in futures contracts | 2010-11-01 | 2010-11-01 | Rep | Dealing in securities | 2010-11-01 | 2010-11-01 |
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