Yam, Vincent Wai Yuen 任維淵
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 | Asset management | 2005-01-25 | |
| 2 | Merrill Lynch Far East Limited | Rep | Asset management | 2005-01-25 | |
| 3 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on corporate finance | 2005-03-23 | |
| 4 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on securities | 2005-03-23 | |
| 5 | Merrill Lynch (Asia Pacific) Limited | Rep | Automated trading services | 2005-03-23 | |
| 6 | Merrill Lynch Far East Limited | Rep | Advising on corporate finance | 2005-03-23 | |
| 7 | Merrill Lynch Far East Limited | Rep | Advising on securities | 2005-03-23 | |
| 8 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2013-04-27 | |
| 9 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2013-04-27 | |
| 10 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-03-20 | 2010-11-15 |
| 11 | Merrill Lynch Far East Limited | Rep | Dealing in futures contracts | 2010-11-15 | 2013-04-27 |
| 12 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2013-08-05 | 2015-01-21 |
| 13 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in securities | 2013-08-05 | 2015-01-21 |
| 14 | Segantii Capital Management Limited | Rep | Asset management | 2015-07-08 | 2016-02-16 |
| 15 | CHINA EVERBRIGHT ASSETS MANAGEMENT LIMITED | Rep | Advising on securities | 2016-10-18 | 2017-05-13 |
| 16 | CHINA EVERBRIGHT ASSETS MANAGEMENT LIMITED | Rep | Asset management | 2016-10-18 | 2017-05-13 |
| 17 | Pamirs Capital (H.K.) Limited | Rep | Advising on securities | 2017-07-11 | 2017-12-29 |
| 18 | Pamirs Capital (H.K.) Limited | Rep | Asset management | 2017-07-11 | 2017-12-29 |
| 19 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2018-04-11 | 2022-06-28 |
| 20 | GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2018-04-25 | |
| 21 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2018-04-25 | 2022-06-28 |
| 22 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | RO | Advising on securities | 2022-06-28 | |
| 23 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2022-06-28 |
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