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YIM Siu Wing, Simon

閻小穎
CE AMI059Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

YIM Siu Wing, Simon (CE number AMI059) is an individual licensed by the Hong Kong SFC. First licensed on 2005-08-02. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerRaiseSun Capital Limited
蕊申資本有限公司

Licence Record (2)

2016-10-31 – present Current
RaiseSun Capital Limited RO
RA 1 RA 4 RA 6
2005-08-02 – 2016-03-01
Nomura International (Hong Kong) Limited Rep
RA 1 RA 4 RA 6

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/AMI059