David Tai Wai Yen
閻大偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Tai Wai Yen (閻大偉), a licensed former licensee with CE reference AAC020. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2008-05-20 | 2009-11-01 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-03-10 | 2008-05-20 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-03-10 | 2009-11-01 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-03-10 | 2008-07-28 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-06-12 | 2008-01-07 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-06-12 | 2008-01-07 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2007-06-12 | 2008-01-07 |
| South China Commodities Limited 南華期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-11-28 | 2007-06-01 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2005-11-17 | 2007-06-01 |
| South China Research Limited 南華資料研究有限公司 |
Rep | Type 4 — Advising on securities | 2005-11-17 | 2007-06-01 |
| AP Asset Management (HK) Limited | Rep | Type 4 — Advising on securities | 2005-08-11 | 2005-11-01 |
| AP Asset Management (HK) Limited | Rep | Type 9 — Asset management | 2005-08-11 | 2005-11-01 |
| AP Asset Management (HK) Limited | Rep | Type 1 — Dealing in securities | 2005-06-09 | 2005-11-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-04-27 | 2005-05-20 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2005-02-01 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-10-29 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-02-01 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-10-29 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-29 |