Wai Yan (SFC:ADN093) Tang
鄧惠因
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Yan (SFC:ADN093) Tang (鄧惠因), a licensed former licensee with CE reference ADN093. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| VMS Asset Management Limited 鼎珮資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2025-03-31 | 2025-11-25 |
| VMS Asset Management Limited 鼎珮資產管理有限公司 |
Rep | Type 9 — Asset management | 2025-03-31 | 2025-11-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2005-05-31 | 2008-02-15 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | 2005-05-31 | 2008-02-15 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2004-07-20 | 2005-05-20 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-07-09 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-07-09 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-07-21 |