Yim Yin Lui
雷艷燕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yim Yin Lui (雷艷燕), a licensed former licensee with CE reference ADA685. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CAIIS Limited | Rep | Type 1 — Dealing in securities | 2016-06-23 | 2018-02-01 |
| CAIIS Limited | Rep | Type 4 — Advising on securities | 2016-06-23 | 2018-02-01 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2011-11-30 | 2013-05-18 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2010-11-30 | 2013-05-18 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-01 | 2010-11-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-11-01 | 2010-11-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | 2010-11-01 | 2010-11-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2010-11-01 | 2010-11-01 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-09-30 | 2010-10-31 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 5 — Advising on futures contracts | 2005-09-30 | 2010-10-31 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2010-10-31 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2005-10-04 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-05-14 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | present | 2004-05-14 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-05-14 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-05-14 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2004-05-14 |