SFC Licences of YAM Wai Yuen Vincent 任維淵

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

Institution Role Licences Start date End date
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RO 4 28 June 2022
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RO 1 28 June 2022
Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 RE 2 25 April 2018
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RE 1 25 April 2018 28 June 2022
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RE 4 11 April 2018 28 June 2022
Pamirs Capital (H.K.) Limited 高原証券有限公司 RE 9 11 July 2017 29 December 2017
Pamirs Capital (H.K.) Limited 高原証券有限公司 RE 4 11 July 2017 29 December 2017
China Everbright Assets Management Limited 中國光大資產管理有限公司 RE 9 18 October 2016 13 May 2017
China Everbright Assets Management Limited 中國光大資產管理有限公司 RE 4 18 October 2016 13 May 2017
Segantii Capital Management Limited RE 9 08 July 2015 16 February 2016
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 2 05 August 2013 21 January 2015
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE 1 05 August 2013 21 January 2015
Merrill Lynch Far East Limited RE 2 15 November 2010 27 April 2013
Merrill Lynch (Asia Pacific) Limited RE 1 01 April 2003 27 April 2013
Merrill Lynch Far East Limited RE 1 01 April 2003 27 April 2013
Merrill Lynch Futures (Hong Kong) Limited RE 2 20 March 2007 15 November 2010
Merrill Lynch (Asia Pacific) Limited RE 4 01 April 2003 23 March 2005
Merrill Lynch Far East Limited RE 4 01 April 2003 23 March 2005
Merrill Lynch (Asia Pacific) Limited RE 6 01 April 2003 23 March 2005
Merrill Lynch Far East Limited RE 6 01 April 2003 23 March 2005
Merrill Lynch (Asia Pacific) Limited RE 7 01 April 2003 23 March 2005
Merrill Lynch (Asia Pacific) Limited RE 9 01 April 2003 25 January 2005
Merrill Lynch Far East Limited RE 9 01 April 2003 25 January 2005