Wan, David Ngar Yin 溫雅言
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | Jin Yi Financial Group Limited | RO | Advising on futures contracts | 2022-05-16 | RO | Advising on securities | 2022-05-16 | RO | Asset management | 2022-05-16 | RO | Dealing in futures contracts | 2022-05-16 | RO | Dealing in securities | 2022-05-16 |
| 2 | Rich Union Securities (H.K.) Limited | RO | Asset management | 2005-04-01 | 2009-03-19 |
| 3 | SILVERBRICKS ASSET MANAGEMENT COMPANY LIMITED | RO | Advising on securities | 2019-01-14 | 2022-04-30 | RO | Asset management | 2019-01-14 | 2022-04-30 |
| 4 | SILVERBRICKS SECURITIES COMPANY LIMITED | RO | Dealing in securities | 2018-05-17 | 2022-04-30 | RO | Advising on corporate finance | 2020-06-29 | 2022-04-30 | RO | Dealing in futures contracts | 2020-10-30 | 2022-04-30 |
| 5 | Yuanta Asia Investment (Hong Kong) Limited | RO | Advising on securities | 2012-04-12 | 2013-08-01 | RO | Asset management | 2012-04-12 | 2018-04-30 | RO | Dealing in securities | 2012-04-12 | 2018-04-30 | RO | Dealing in futures contracts | 2016-11-08 | 2018-04-30 |
| 6 | Yuanta Securities (Hong Kong) Company Limited | RO | Advising on securities | 2004-02-06 | 2010-10-01 | RO | Dealing in securities | 2004-02-06 | 2010-10-01 | RO | Advising on securities | 2012-06-27 | 2018-03-29 | RO | Asset management | 2012-06-27 | 2018-03-29 | RO | Dealing in securities | 2012-06-27 | 2018-03-29 | Rep | Leveraged foreign exchange trading | 2012-08-15 | 2013-02-15 | Rep | Advising on futures contracts | 2012-08-15 | 2018-03-29 | Rep | Dealing in futures contracts | 2012-08-15 | 2018-03-29 | Rep | Leveraged foreign exchange trading | 2013-04-23 | 2016-10-31 |
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