SFC Licences of YAM David 任卓偉

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

Institution Role Licences Start date End date
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 RO 4 08 November 2021
SBI China Capital Asset Management Limited 軟庫中華金融資產管理有限公司 RO 9 22 April 2021 23 March 2022
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 RO 9 19 September 2008
SBI China Capital Securities Limited 軟庫中華金融證券有限公司 RO 9 23 April 2008 30 September 2011
SBI China Capital Securities Limited 軟庫中華金融證券有限公司 RO 1 23 April 2008 30 September 2011
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 RO 1 23 April 2008
SBI China Capital Commodities Limited 軟庫中華金融期貨有限公司 RE 2 30 November 2007 28 February 2013
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 RE 1 30 November 2007 23 April 2008
SBI China Capital Securities Limited 軟庫中華金融證券有限公司 RE 1 30 November 2007 23 April 2008
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE 2 12 October 2007 12 November 2007
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 12 October 2007 12 November 2007
Xinhua Investment Group Hong Kong Limited 新華投資集團香港有限公司 RO 4 20 March 2007 30 September 2007
SBI China Capital Securities Limited 軟庫中華金融證券有限公司 RO 9 07 February 2007 02 October 2007
SBI China Capital Securities Limited 軟庫中華金融證券有限公司 RO 1 29 June 2006 02 October 2007
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 RO 1 28 April 2006 02 October 2007
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 RE 1 06 October 2005 28 April 2006
SBI China Capital Commodities Limited 軟庫中華金融期貨有限公司 RE 2 01 September 2005 02 October 2007
SBI China Capital Securities Limited 軟庫中華金融證券有限公司 RE 1 01 September 2005 29 June 2006
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 10 June 2004 24 August 2005
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE 2 06 June 2003 24 August 2005
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RO 1 01 April 2003 10 June 2004
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RO 7 01 April 2003 11 March 2004