Wai Yuen Vincent Yam
任維淵
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Yuen Vincent Yam (任維淵), a licensed Responsible Officer with CE reference AGM448. Currently licensed at 2 firm(s): Guotai Junan Securities (Hong Kong) Limited, Guotai Junan Futures (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities. Total licence records on file: 23.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2022-06-28 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2022-06-28 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-04-25 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-04-25 | 2022-06-28 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-04-11 | 2022-06-28 |
| Pamirs Capital (H.K.) Limited 高原証券有限公司 |
Rep | Type 4 — Advising on securities | 2017-07-11 | 2017-12-29 |
| Pamirs Capital (H.K.) Limited 高原証券有限公司 |
Rep | Type 9 — Asset management | 2017-07-11 | 2017-12-29 |
| China Everbright Assets Management Limited 中國光大資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2016-10-18 | 2017-05-13 |
| China Everbright Assets Management Limited 中國光大資產管理有限公司 |
Rep | Type 9 — Asset management | 2016-10-18 | 2017-05-13 |
| Segantii Capital Management Limited | Rep | Type 9 — Asset management | 2015-07-08 | 2016-02-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-05 | 2015-01-21 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-08-05 | 2015-01-21 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-11-15 | 2013-04-27 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-03-20 | 2010-11-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2013-04-27 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | present | 2013-04-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2005-03-23 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |
| Merrill Lynch Far East Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |