Simon Siu Wing Yim
閻小穎
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Siu Wing Yim (閻小穎), a licensed Responsible Officer with CE reference AMI059. Currently licensed at 1 firm(s): RaiseSun Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 6.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RaiseSun Capital Limited 蕊申資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-07-06 | present |
| RaiseSun Capital Limited 蕊申資本有限公司 |
RO | Type 1 — Dealing in securities | 2016-10-31 | present |
| RaiseSun Capital Limited 蕊申資本有限公司 |
RO | Type 4 — Advising on securities | 2016-10-31 | present |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-08-02 | 2016-03-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-08-02 | 2016-03-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-08-02 | 2016-03-01 |