Sim, Edmund Koon Yin 沈觀賢

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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 BOCI ASIA LIMITED Rep Advising on corporate finance 2004-03-01
2 Merrill Lynch (Asia Pacific) Limited Rep Advising on corporate finance 2010-05-18 2012-07-12
3 Merrill Lynch Far East Limited Rep Advising on corporate finance 2010-05-18 2012-07-12
4 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED Rep Advising on corporate finance 2012-11-13 2016-10-31
5 Merrill Lynch (Asia Pacific) Limited Rep Advising on securities 2010-05-18 2012-07-12
6 Merrill Lynch Far East Limited Rep Advising on securities 2010-05-18 2012-07-12
7 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED Rep Advising on securities 2012-11-13 2016-10-31
8 BOCI ASIA LIMITED Rep Dealing in securities 2004-03-01
9 Citigroup Global Markets Asia Limited Rep Dealing in securities 2004-03-15 2008-04-15
10 CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED Rep Dealing in securities 2004-03-15 2008-04-15
11 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2008-06-04 2010-03-13
12 Merrill Lynch (Asia Pacific) Limited Rep Dealing in securities 2010-05-18 2012-07-12
13 Merrill Lynch Far East Limited Rep Dealing in securities 2010-05-18 2012-07-12
14 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED Rep Dealing in securities 2012-11-13 2013-12-04
15 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED RO Advising on corporate finance 2016-10-31 2017-09-21
16 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED RO Advising on securities 2017-09-21 2018-07-20
17 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED RO Dealing in securities 2013-12-04 2018-07-20

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