Edmund Koon Yin Sim
沈觀賢
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Edmund Koon Yin Sim (沈觀賢), a licensed former licensee with CE reference AGK071. Total licence records on file: 17.
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 4 — Advising on securities | 2017-09-21 | 2018-07-20 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-10-31 | 2017-09-21 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2013-12-04 | 2018-07-20 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-11-13 | 2013-12-04 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-11-13 | 2016-10-31 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-11-13 | 2016-10-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2010-05-18 | 2012-07-12 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2010-05-18 | 2012-07-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2010-05-18 | 2012-07-12 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2010-05-18 | 2012-07-12 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2010-05-18 | 2012-07-12 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2010-05-18 | 2012-07-12 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2008-06-04 | 2010-03-13 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-03-15 | 2008-04-15 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2004-03-15 | 2008-04-15 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-03-01 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-03-01 |