Shiming Tan
談世銘
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shiming Tan (談世銘), a licensed former licensee with CE reference AMJ506. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2023-05-08 | 2024-09-03 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 2 - Dealing in futures contracts | 2023-05-08 | 2024-09-03 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 4 - Advising on securities | 2023-05-08 | 2024-09-03 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2023-04-24 | 2023-05-08 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2023-04-24 | 2024-09-03 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2015-07-27 | 2023-05-08 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-07-27 | 2023-05-08 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-12-29 | 2011-03-11 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-08-15 | 2007-05-28 |