Conan Yui Hong Tam
譚悅康
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Conan Yui Hong Tam (譚悅康), CE reference AHC108. Currently licensed at 1 firm(s): Merrill Lynch (Asia Pacific) Limited. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | RO | Type 6 — Advising on corporate finance | 2018-02-02 | present |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 1 — Dealing in securities | 2015-02-04 | present |
| Merrill Lynch (Asia Pacific) Limited | RO | Type 4 — Advising on securities | 2015-02-04 | present |
| Merrill Lynch Far East Limited | RO | Type 6 — Advising on corporate finance | 2018-02-02 | 2024-03-11 |
| Merrill Lynch Far East Limited | RO | Type 1 — Dealing in securities | 2015-02-04 | 2024-03-11 |
| Merrill Lynch Far East Limited | RO | Type 4 — Advising on securities | 2015-02-04 | 2024-03-11 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2014-09-08 | 2015-02-04 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2014-09-08 | 2015-02-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2014-09-08 | 2015-02-04 |
| Merrill Lynch Far East Limited | Rep | Type 4 — Advising on securities | 2014-09-08 | 2015-02-04 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 — Advising on corporate finance | 2014-09-08 | 2018-02-02 |
| Merrill Lynch Far East Limited | Rep | Type 6 — Advising on corporate finance | 2014-09-08 | 2018-02-02 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2014-04-29 | 2014-06-05 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-12-23 | 2009-04-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2008-05-23 | 2009-04-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-05-23 | 2009-04-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-05-22 | 2008-05-02 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-05-22 | 2008-05-02 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-03-23 | 2008-05-02 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2005-03-04 | 2007-03-03 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-02-25 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-02-25 |
| Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2005-02-15 |