Yam, Vincent Wai Yuen 任維淵

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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 Merrill Lynch (Asia Pacific) Limited Rep Advising on corporate finance 2005-03-23
Merrill Lynch Far East Limited Rep 2005-03-23
2 Merrill Lynch (Asia Pacific) Limited Rep Advising on securities 2005-03-23
Merrill Lynch Far East Limited Rep 2005-03-23
CHINA EVERBRIGHT ASSETS MANAGEMENT LIMITED Rep 2016-10-18 2017-05-13
Pamirs Capital (H.K.) Limited Rep 2017-07-11 2017-12-29
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED Rep 2018-04-11 2022-06-28
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED RO 2022-06-28
3 Merrill Lynch (Asia Pacific) Limited Rep Asset management 2005-01-25
Merrill Lynch Far East Limited Rep 2005-01-25
Segantii Capital Management Limited Rep 2015-07-08 2016-02-16
CHINA EVERBRIGHT ASSETS MANAGEMENT LIMITED Rep 2016-10-18 2017-05-13
Pamirs Capital (H.K.) Limited Rep 2017-07-11 2017-12-29
4 Merrill Lynch (Asia Pacific) Limited Rep Automated trading services 2005-03-23
5 MERRILL LYNCH FUTURES (HONG KONG) LIMITED Rep Dealing in futures contracts 2007-03-20 2010-11-15
Merrill Lynch Far East Limited Rep 2010-11-15 2013-04-27
NOMURA INTERNATIONAL (HONG KONG) LIMITED Rep 2013-08-05 2015-01-21
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED Rep 2018-04-25
6 Merrill Lynch (Asia Pacific) Limited Rep Dealing in securities 2013-04-27
Merrill Lynch Far East Limited Rep 2013-04-27
NOMURA INTERNATIONAL (HONG KONG) LIMITED Rep 2013-08-05 2015-01-21
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED Rep 2018-04-25 2022-06-28
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED RO 2022-06-28

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