Alvin Siu-Lun Yam
任兆麟
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alvin Siu-Lun Yam (任兆麟), a licensed former licensee with CE reference BEE593. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-05-04 | 2022-08-29 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2022-05-04 | 2022-08-29 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2022-05-04 | 2022-08-29 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2022-05-04 | 2022-08-29 |
| EXS Capital Asia Limited | Rep | Type 4 — Advising on securities | 2014-10-03 | 2015-07-20 |
| EXS Capital Asia Limited | Rep | Type 9 — Asset management | 2014-10-03 | 2015-07-20 |