Yim Wong
王艷
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yim Wong (王艷), a licensed former licensee with CE reference AFU666. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 - Advising on securities | 2012-12-24 | 2020-11-30 |
| CLSA Research Limited 里昂證券投資研究有限公司 |
Rep | Type 4 - Advising on securities | 2006-10-09 | 2012-12-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2003-07-28 | 2006-09-07 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | present | 2003-05-20 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2003-05-20 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 9 - Asset management | present | 2003-05-20 |