Denise Wan Rou Tam
譚菀柔
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Denise Wan Rou Tam (譚菀柔), a licensed former licensee with CE reference AQS365. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2020-07-22 | 2024-08-02 |
| UBS Securities Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2020-07-22 | 2024-08-02 |
| UBS Securities Asia Limited | Rep | Type 2 — Dealing in futures contracts | 2020-07-22 | 2024-08-02 |
| UBS Securities Hong Kong Limited | Rep | Type 2 — Dealing in futures contracts | 2020-07-22 | 2024-08-02 |
| UBS Securities Hong Kong Limited | Rep | Type 7 — Providing automated trading services | 2020-07-22 | 2024-08-02 |
| Rothschild & Co Wealth Management Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2012-02-08 | 2017-08-08 |
| Rothschild & Co Wealth Management Hong Kong Limited | Rep | Type 4 — Advising on securities | 2012-02-08 | 2017-08-08 |
| La Roche & Co Asia Limited 瑞羅亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-03-26 | 2011-10-14 |
| La Roche & Co Asia Limited 瑞羅亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2008-03-26 | 2011-10-14 |
| La Roche & Co Asia Limited 瑞羅亞洲有限公司 |
Rep | Type 9 — Asset management | 2008-03-26 | 2008-11-20 |