Shinichiro Yamagami
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shinichiro Yamagami ( ), a licensed former licensee with CE reference AYG572. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2025-12-05 | 2025-12-09 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2025-12-05 | 2025-12-09 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2025-12-05 | 2025-12-09 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2025-09-05 | 2025-09-11 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2025-09-05 | 2025-09-11 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2025-09-05 | 2025-09-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2025-03-07 | 2025-03-12 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2025-03-07 | 2025-03-12 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2025-03-07 | 2025-03-12 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2024-10-04 | 2024-10-09 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2024-10-04 | 2024-10-09 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2023-06-16 | 2023-06-21 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2023-06-16 | 2023-06-21 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-05-08 | 2020-06-12 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-05-08 | 2020-06-12 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2018-05-08 | 2020-06-12 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2018-05-08 | 2020-06-12 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-01-15 | 2018-05-08 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-01-15 | 2018-05-08 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-01-15 | 2018-05-08 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2018-01-15 | 2018-05-08 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-10-19 | 2014-02-26 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2011-10-19 | 2013-08-31 |