David Yam
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Yam (任卓偉), a licensed Responsible Officer with CE reference ACJ708. Currently licensed at 1 firm(s): Sinoprosper Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 22.0 years of SFC licence history. Total licence records on file: 25.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sinoprosper Securities Limited 華盈證券有限公司 |
RO | Type 1 - Dealing in securities | 2026-06-23 | present |
| Sinoprosper Securities Limited 華盈證券有限公司 |
RO | Type 4 - Advising on securities | 2026-06-23 | present |
| Sinoprosper Securities Limited 華盈證券有限公司 |
RO | Type 9 - Asset management | 2026-06-23 | present |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 4 - Advising on securities | 2021-11-08 | 2025-03-31 |
| SBI China Capital Asset Management Limited 軟庫中華金融資產管理有限公司 |
RO | Type 9 - Asset management | 2021-04-22 | 2022-03-23 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 9 - Asset management | 2008-09-19 | 2025-03-31 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 1 - Dealing in securities | 2008-04-23 | 2025-03-31 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RO | Type 1 - Dealing in securities | 2008-04-23 | 2011-09-30 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RO | Type 9 - Asset management | 2008-04-23 | 2011-09-30 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 1 - Dealing in securities | 2007-11-30 | 2008-04-23 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2007-11-30 | 2008-04-23 |
| SBI China Capital Commodities Limited 軟庫中華金融期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-11-30 | 2013-02-28 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-10-12 | 2007-11-12 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-10-12 | 2007-11-12 |
| Xinhua Investment Group Hong Kong Limited 新華投資集團香港有限公司 |
RO | Type 4 - Advising on securities | 2007-03-20 | 2007-09-30 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RO | Type 9 - Asset management | 2007-02-07 | 2007-10-02 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RO | Type 1 - Dealing in securities | 2006-06-29 | 2007-10-02 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 1 - Dealing in securities | 2006-04-28 | 2007-10-02 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 1 - Dealing in securities | 2005-10-06 | 2006-04-28 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2005-09-01 | 2006-06-29 |
| SBI China Capital Commodities Limited 軟庫中華金融期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-09-01 | 2007-10-02 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-06-10 | 2005-08-24 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-06-06 | 2005-08-24 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2004-06-10 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
RO | Type 7 - Providing automated trading services | Pre-2003 | 2004-03-11 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as David Yam during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.