Wai Yuen Vincent Yam
任維淵
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Yuen Vincent Yam (任維淵), CE reference AGM448. Currently licensed at 2 firm(s): Guotai Junan Securities (Hong Kong) Limited, Guotai Junan Futures (Hong Kong) Limited. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2022-06-28 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2022-06-28 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-04-25 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-04-25 | 2022-06-28 |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-04-11 | 2022-06-28 |
| Pamirs Capital (H.K.) Limited 高原証券有限公司 |
Rep | Type 4 — Advising on securities | 2017-07-11 | 2017-12-29 |
| Pamirs Capital (H.K.) Limited 高原証券有限公司 |
Rep | Type 9 — Asset management | 2017-07-11 | 2017-12-29 |
| China Everbright Assets Management Limited 中國光大資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2016-10-18 | 2017-05-13 |
| China Everbright Assets Management Limited 中國光大資產管理有限公司 |
Rep | Type 9 — Asset management | 2016-10-18 | 2017-05-13 |
| Segantii Capital Management Limited | Rep | Type 9 — Asset management | 2015-07-08 | 2016-02-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-05 | 2015-01-21 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-08-05 | 2015-01-21 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-11-15 | 2013-04-27 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-03-20 | 2010-11-15 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | present | 2013-04-27 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | present | 2013-04-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | present | 2005-03-23 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 — Providing automated trading services | present | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |
| Merrill Lynch Far East Limited | Rep | Type 9 — Asset management | present | 2005-01-25 |