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), a licensed Responsible Officer with CE reference AHC108. Currently licensed at 1 firm(s): Merrill Lynch (Asia Pacific) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. This person has 17.9 years of SFC licence history. Total licence records on file: 23.
Information
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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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 2005-02-15 |