Koon Seng Tan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Koon Seng Tan ( ), a licensed former licensee with CE reference ARH185. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2015-02-13 | 2015-05-15 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2015-02-13 | 2015-05-15 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-02-13 | 2015-05-15 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2011-04-28 | 2015-02-13 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2009-09-01 | 2015-02-13 |
| Harvest Global Investments Limited 嘉實國際資產管理有限公司 |
RO | Type 9 — Asset management | 2009-09-01 | 2015-02-13 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 1 — Dealing in securities | 2008-07-08 | 2009-09-01 |