Tam, Shing Hei 譚成希
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 | CCB INTERNATIONAL SECURITIES LIMITED | Rep | Advising on securities | 2014-03-12 | 2015-09-16 | Rep | Dealing in securities | 2014-03-12 | 2015-09-16 | RO | Advising on securities | 2015-09-16 | 2022-04-13 | RO | Dealing in securities | 2015-09-16 | 2022-04-13 |
| 2 | CLSA LIMITED | Rep | Advising on corporate finance | 2003-08-27 | Rep | Advising on securities | 2003-08-27 | Rep | Asset management | 2003-08-27 | Rep | Dealing in securities | 2003-08-27 |
| 3 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in securities | 2007-08-13 | 2011-09-10 | Rep | Advising on securities | 2009-01-23 | 2011-09-10 |
| 4 | GF Securities (Hong Kong) Brokerage Limited | Rep | Dealing in securities | 2013-11-19 | 2014-02-05 |
| 5 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in securities | 2005-04-25 | 2006-12-27 |
| 6 | MACQUARIE CAPITAL LIMITED | Rep | Automated trading services | 2003-09-02 | 2004-03-22 | Rep | Dealing in securities | 2003-09-02 | 2005-03-24 |
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