Tang Seng Kee
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tang Seng Kee ( ), a licensed former licensee with CE reference AEC763. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| EFG Asset Management (HK) Limited 瑞士盈豐資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-09-04 | 2010-12-01 |
| EFG Asset Management (HK) Limited 瑞士盈豐資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2009-09-04 | 2010-12-01 |
| Nomura Securities (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-12-10 | 2009-04-08 |
| Nomura Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2008-12-10 | 2009-04-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-10 | 2009-04-08 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-10-10 | 2009-04-08 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 1 — Dealing in securities | 2006-04-10 | 2008-09-29 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2006-04-10 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-02-24 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2003-08-20 | 2006-04-10 |
| Lehman Brothers Securities Asia Limited 美國雷曼兄弟證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2003-08-20 | 2006-04-10 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-16 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-16 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-16 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2003-05-16 |