Kwok Leung (SFC:AEE193) Tam
譚國樑
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Leung (SFC:AEE193) Tam (譚國樑), a licensed former licensee with CE reference AEE193. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2005-07-13 | 2010-04-28 |
| Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-07-13 | 2010-04-28 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | present | 2005-06-30 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | present | 2005-06-30 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | present | 2005-03-30 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | present | 2005-03-30 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2005-03-30 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | present | 2003-08-15 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 9 - Asset management | present | 2005-03-30 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 9 - Asset management | present | 2003-12-09 |