Yan Tan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan Tan (譚燕), a licensed Responsible Officer with CE reference AXV124. Currently licensed at 2 firm(s): Guoyuan Securities Brokerage (Hong Kong) Limited, Guoyuan Futures (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 13.4 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 4 - Advising on securities | 2019-08-26 | present |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2018-06-08 | present |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2018-06-08 | present |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-01-25 | 2018-06-08 |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-01-25 | 2018-06-08 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-11-01 | 2016-09-12 |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-11-01 | 2016-09-12 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yan Tan during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.