David Sai Chiu Tam
譚世昭
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for David Sai Chiu Tam (譚世昭), a licensed former licensee with CE reference APB502. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
RO | Type 1 — Dealing in securities | 2019-10-03 | 2023-05-14 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
RO | Type 4 — Advising on securities | 2019-10-03 | 2023-05-14 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-10-03 | 2023-05-14 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
Rep | Type 1 — Dealing in securities | 2019-07-05 | 2019-10-03 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
Rep | Type 4 — Advising on securities | 2019-07-05 | 2019-10-03 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-07-05 | 2019-10-03 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-01-07 | 2019-05-01 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | 2015-01-07 | 2019-05-01 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-10-16 | 2019-05-01 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-10-16 | 2019-05-01 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-06-12 | 2012-10-16 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-06-12 | 2012-10-16 |