Thaddeus Weiming Tien
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thaddeus Weiming Tien ( ), a licensed former licensee with CE reference AXK269. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2015-10-22 | 2022-04-01 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-10-22 | 2022-04-01 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 - Dealing in securities | 2012-07-03 | 2015-08-14 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-07-03 | 2015-08-14 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2011-06-08 | 2012-06-30 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-06-08 | 2012-06-30 |