SFC Licences of YEN Tai Wai, David 閻大偉

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RO 1 20 May 2008 01 November 2009
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司
RE 2 10 March 2008 01 November 2009
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 4 10 March 2008 28 July 2008
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 1 10 March 2008 20 May 2008
RHB Securities Hong Kong Limited 興業金融證券有限公司
RE 1, 4 12 June 2007 07 January 2008
RHB Futures Hong Kong Limited 興業金融期貨有限公司
RE 2 12 June 2007 07 January 2008
South China Commodities Limited 南華期貨有限公司
RE 2 28 November 2005 01 June 2007
South China Securities Limited 南華證券投資有限公司
RE 1 17 November 2005 01 June 2007
South China Research Limited 南華資料研究有限公司
RE 4 17 November 2005 01 June 2007
AP Asset Management (HK) Limited
RE 4, 9 11 August 2005 01 November 2005
AP Asset Management (HK) Limited
RE 1 09 June 2005 01 November 2005
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司
RE 1 27 April 2005 20 May 2005
ABCI Securities Company Limited 農銀國際證券有限公司
RE 1, 6 01 April 2003 01 February 2005
ABCI Securities Company Limited 農銀國際證券有限公司
RE 4, 7, 9 01 April 2003 29 October 2003