David Ngar Yin Wan
溫雅言
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Ngar Yin Wan (溫雅言), a licensed Responsible Officer with CE reference ABH754. Currently licensed at 1 firm(s): Jin Yi Financial Group Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 5 — Advising on futures contracts; Type 9 — Asset management. Total licence records on file: 24.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Advising on futures contracts →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jin Yi Financial Group Limited 金益金融集團有限公司 |
RO | Type 1 — Dealing in securities | 2022-05-16 | present |
| Jin Yi Financial Group Limited 金益金融集團有限公司 |
RO | Type 2 — Dealing in futures contracts | 2022-05-16 | present |
| Jin Yi Financial Group Limited 金益金融集團有限公司 |
RO | Type 4 — Advising on securities | 2022-05-16 | present |
| Jin Yi Financial Group Limited 金益金融集團有限公司 |
RO | Type 5 — Advising on futures contracts | 2022-05-16 | present |
| Jin Yi Financial Group Limited 金益金融集團有限公司 |
RO | Type 9 — Asset management | 2022-05-16 | present |
| Silverbricks Securities Company Limited 元庫證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2020-10-30 | 2022-04-30 |
| Silverbricks Securities Company Limited 元庫證券有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-06-29 | 2022-04-30 |
| Silverbricks Asset Management Company Limited 元庫資産管理有限公司 |
RO | Type 4 — Advising on securities | 2019-01-14 | 2022-04-30 |
| Silverbricks Asset Management Company Limited 元庫資産管理有限公司 |
RO | Type 9 — Asset management | 2019-01-14 | 2022-04-30 |
| Silverbricks Securities Company Limited 元庫證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-05-17 | 2022-04-30 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-11-08 | 2018-04-30 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2013-04-23 | 2016-10-31 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-08-15 | 2018-03-29 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2012-08-15 | 2013-02-15 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2012-08-15 | 2018-03-29 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-06-27 | 2018-03-29 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-06-27 | 2018-03-29 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 9 — Asset management | 2012-06-27 | 2018-03-29 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-04-12 | 2018-04-30 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-04-12 | 2013-08-01 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 9 — Asset management | 2012-04-12 | 2018-04-30 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
RO | Type 9 — Asset management | 2005-04-01 | 2009-03-19 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2004-02-06 | 2010-10-01 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2004-02-06 | 2010-10-01 |