SFC Licences of SIM Koon Yin, Edmund 沈觀賢

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 4 21 September 2017 20 July 2018
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RO 6 31 October 2016 21 September 2017
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RO 1 04 December 2013 20 July 2018
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 4, 6 13 November 2012 31 October 2016
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 1 13 November 2012 04 December 2013
Merrill Lynch Far East Limited
Merrill Lynch (Asia Pacific) Limited
RE 1, 4, 6 18 May 2010 12 July 2012
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司
RE 1 04 June 2008 13 March 2010
Citigroup Global Markets Hong Kong Futures and Securities Limited
Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司
RE 1 15 March 2004 15 April 2008
BOCI Asia Limited 中銀國際亞洲有限公司
RE 1, 6 01 April 2003 01 March 2004