SFC Licences of YIM Kwok Man 嚴國文

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

Institution Role Licences Start date End date
Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 RE 9 28 July 2015 28 November 2023
Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 RE 5 28 July 2015 28 November 2023
Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 RE 4 28 July 2015 28 November 2023
Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 RE 9 03 February 2010 01 September 2011
Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 RE 4 03 February 2010 01 September 2011
Odysseus Capital Asia Limited 奧澌資本亞洲有限公司 RO 6 29 October 2009 29 July 2014
DBS Asia Capital Limited 星展亞洲融資有限公司 RE 6 07 October 2005 26 May 2006
DBS Asia Capital Limited 星展亞洲融資有限公司 RE 4 07 October 2005 26 May 2006
DBS Asia Capital Limited 星展亞洲融資有限公司 RE 1 07 October 2005 26 May 2006
CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 RE 6 01 April 2003 27 September 2005
CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 RE 1 01 April 2003 27 September 2005
CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 RE 4 01 April 2003 30 July 2004
CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 RE 9 01 April 2003 31 December 2003