Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
YIM, KWOK MAN
Chinese Name of Relevant Individual
嚴國文
HKMA Registration Number
AC9752
Current Registration
Not Applicable
Business Address
Not Applicable
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
03 Aug 2007 - 05 Aug 2009
Is an Executive Officer? (Yes / No)
Yes
HKMA Registration Number
A
Registered Institution
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
20 Jul 2006 - 29 Jul 2009
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
20 Jul 2006 - 02 Aug 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Regulated Activity
Type 1: dealing in securities
Effective Period
17 Jun 2006 - 13 Jul 2006
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Regulated Activity
Type 6: advising on corporate finance
Effective Period
17 Jun 2006 - 13 Jul 2006
Is an Executive Officer? (Yes / No)
No
Records: 1-5 of 5
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
YIM, KWOK MAN
:
Chinese Name of Relevant Individual
嚴國文
:
HKMA Registration Number
AC9752
Not Applicable
Not Applicable
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AC9752
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Type 6: advising on corporate finance
03 Aug 2007 - 05 Aug 2009
Yes
AC9752
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Type 1: dealing in securities
20 Jul 2006 - 29 Jul 2009
No
AC9752
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Type 6: advising on corporate finance
20 Jul 2006 - 02 Aug 2007
No
AC9752
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Type 1: dealing in securities
17 Jun 2006 - 13 Jul 2006
No
AC9752
COOPERATIEVE CENTRALE RAIFFEISEN-BOERENLEENBANK B.A.
Type 6: advising on corporate finance
17 Jun 2006 - 13 Jul 2006
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.