David Tai Wai Yen
閻大偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Tai Wai Yen (閻大偉), a licensed former licensee with CE reference AAC020. This person has 6.1 years of SFC licence history. Total licence records on file: 19.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2008-05-20 | 2009-11-01 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-03-10 | 2008-05-20 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-03-10 | 2009-11-01 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2008-03-10 | 2008-07-28 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2007-06-12 | 2008-01-07 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-06-12 | 2008-01-07 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 - Advising on securities | 2007-06-12 | 2008-01-07 |
| South China Commodities Limited 南華期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-11-28 | 2007-06-01 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 - Dealing in securities | 2005-11-17 | 2007-06-01 |
| South China Research Limited 南華資料研究有限公司 |
Rep | Type 4 - Advising on securities | 2005-11-17 | 2007-06-01 |
| AP Asset Management (HK) Limited | Rep | Type 4 - Advising on securities | 2005-08-11 | 2005-11-01 |
| AP Asset Management (HK) Limited | Rep | Type 9 - Asset management | 2005-08-11 | 2005-11-01 |
| AP Asset Management (HK) Limited | Rep | Type 1 - Dealing in securities | 2005-06-09 | 2005-11-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2005-04-27 | 2005-05-20 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-02-01 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-10-29 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-02-01 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-10-29 |
| ABCI Securities Company Limited 農銀國際證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-10-29 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as David Tai Wai Yen 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.