David Ngar Yin Wan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Ngar Yin Wan (溫雅言), a licensed Responsible Officer with CE reference ABH754. Currently licensed at 1 firm(s): Jin Yi Financial Group Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 5 - Advising on futures contracts; Type 9 - Asset management. This person has 20.8 years of SFC licence history. Total licence records on file: 24.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Jin Yi Financial Group Limited 金益金融集團有限公司 |
RO | Type 1 - Dealing in securities | 2022-05-16 | present |
| Jin Yi Financial Group Limited 金益金融集團有限公司 |
RO | Type 2 - Dealing in futures contracts | 2022-05-16 | present |
| Jin Yi Financial Group Limited 金益金融集團有限公司 |
RO | Type 4 - Advising on securities | 2022-05-16 | present |
| Jin Yi Financial Group Limited 金益金融集團有限公司 |
RO | Type 5 - Advising on futures contracts | 2022-05-16 | present |
| Jin Yi Financial Group Limited 金益金融集團有限公司 |
RO | Type 9 - Asset management | 2022-05-16 | present |
| Silverbricks Securities Company Limited 元庫證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2020-10-30 | 2022-04-30 |
| Silverbricks Securities Company Limited 元庫證券有限公司 |
RO | Type 6 - Advising on corporate finance | 2020-06-29 | 2022-04-30 |
| Silverbricks Asset Management Company Limited 元庫資産管理有限公司 |
RO | Type 4 - Advising on securities | 2019-01-14 | 2022-04-30 |
| Silverbricks Asset Management Company Limited 元庫資産管理有限公司 |
RO | Type 9 - Asset management | 2019-01-14 | 2022-04-30 |
| Silverbricks Securities Company Limited 元庫證券有限公司 |
RO | Type 1 - Dealing in securities | 2018-05-17 | 2022-04-30 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2016-11-08 | 2018-04-30 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2013-04-23 | 2016-10-31 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-08-15 | 2018-03-29 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2012-08-15 | 2013-02-15 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2012-08-15 | 2018-03-29 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2012-06-27 | 2018-03-29 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2012-06-27 | 2018-03-29 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 9 - Asset management | 2012-06-27 | 2018-03-29 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2012-04-12 | 2018-04-30 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 4 - Advising on securities | 2012-04-12 | 2013-08-01 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
RO | Type 9 - Asset management | 2012-04-12 | 2018-04-30 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
RO | Type 9 - Asset management | 2005-04-01 | 2009-03-19 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2004-02-06 | 2010-10-01 |
| Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2004-02-06 | 2010-10-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as David Ngar Yin Wan 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.