Pun Shing Tan
陳本勝
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Pun Shing Tan (陳本勝), a licensed former licensee with CE reference AAA187. This person has 6.0 years of SFC licence history. Total licence records on file: 17.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| TC Investment Management (Asia) Limited 同創投資管理(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-10-03 | 2019-10-08 |
| TC Investment Management (Asia) Limited 同創投資管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2017-10-03 | 2019-10-08 |
| Midland Wealth Management Limited 美聯資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2013-10-21 | 2017-06-14 |
| Midland Wealth Management Limited 美聯資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2013-10-21 | 2017-06-14 |
| Planetree Securities Limited 梧桐證券有限公司 |
Rep | Type 1 - Dealing in securities | 2008-11-04 | 2008-12-30 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2003-06-01 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2003-06-01 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2003-06-01 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | Pre-2003 | 2003-06-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-06-01 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-06-01 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-06-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-06-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-06-01 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-06-01 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-06-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-06-01 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Pun Shing Tan during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.