WAN Ngar Yin, David

溫雅言

CE ABH754Licensed IndividualResponsible OfficerSFO licence active

WAN Ngar Yin, David (CE number ABH754) is an individual licensed by the Hong Kong SFC. First licensed on 2004-02-06. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (7)

RA 1 Dealing in Securities

RA 2 Dealing in Futures Contracts

RA 3 Leveraged Foreign Exchange Trading

RA 4 Advising on Securities

RA 5 Advising on Futures Contracts

RA 6 Advising on Corporate Finance

RA 9 Asset Management

Roles & Accreditations (1)

Capacity	Company / Institution
Responsible Officer	Jin Yi Financial Group Limited 金益金融集團有限公司

Licence Record (7)

2022-05-16 – present Current

Jin Yi Financial Group Limited RO

RA 1 RA 2 RA 4 RA 5 RA 9

2019-01-14 – 2022-04-30

Silverbricks Asset Management Company Limited RO

RA 4 RA 9

2018-05-17 – 2022-04-30

Silverbricks Securities Company Limited RO

RA 1 RA 2 RA 6

2012-08-15 – 2018-03-29

Yuanta Securities (Hong Kong) Company Limited Rep

RA 2 RA 3 RA 5

2012-04-12 – 2018-04-30

Yuanta Asia Investment (Hong Kong) Limited RO

RA 1 RA 2 RA 4 RA 9

2005-04-01 – 2009-03-19

Rich Union Securities (H.K.) Limited RO

RA 9

2004-02-06 – 2018-03-29

Yuanta Securities (Hong Kong) Company Limited RO

RA 1 RA 4 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ABH754