Simon Siu Wing Yim
閻小穎
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Siu Wing Yim (閻小穎), CE reference AMI059. Currently licensed at 1 firm(s): RaiseSun Capital Limited. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RaiseSun Capital Limited 蕊申資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-07-06 | present |
| RaiseSun Capital Limited 蕊申資本有限公司 |
RO | Type 1 — Dealing in securities | 2016-10-31 | present |
| RaiseSun Capital Limited 蕊申資本有限公司 |
RO | Type 4 — Advising on securities | 2016-10-31 | present |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-08-02 | 2016-03-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-08-02 | 2016-03-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-08-02 | 2016-03-01 |