Shih Min Tan
陳世民
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shih Min Tan (陳世民), a licensed former licensee with CE reference BDF564. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 1 — Dealing in securities | 2022-06-02 | 2023-05-05 |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 4 — Advising on securities | 2022-06-02 | 2023-05-05 |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 9 — Asset management | 2022-06-02 | 2023-05-05 |
| TransAsia Private Capital Limited 寰亞資本管理有限公司 |
Rep | Type 1 — Dealing in securities | 2021-02-18 | 2022-01-16 |
| TransAsia Private Capital Limited 寰亞資本管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-02-18 | 2022-01-16 |
| TransAsia Private Capital Limited 寰亞資本管理有限公司 |
RO | Type 1 — Dealing in securities | 2019-07-31 | 2021-02-18 |
| TransAsia Private Capital Limited 寰亞資本管理有限公司 |
RO | Type 4 — Advising on securities | 2019-07-31 | 2021-02-18 |
| TransAsia Private Capital Limited 寰亞資本管理有限公司 |
RO | Type 9 — Asset management | 2019-07-31 | 2022-01-16 |
| TransAsia Private Capital Limited 寰亞資本管理有限公司 |
Rep | Type 9 — Asset management | 2018-05-28 | 2019-07-31 |
| TransAsia Private Capital Limited 寰亞資本管理有限公司 |
Rep | Type 4 — Advising on securities | 2018-04-20 | 2019-07-31 |
| AIF Capital Limited 殷庫資本有限公司 |
Rep | Type 4 — Advising on securities | 2017-10-23 | 2018-03-27 |
| Asiya Investments Hong Kong Limited |
Rep | Type 4 — Advising on securities | 2014-05-13 | 2017-04-28 |
| Asiya Investments Hong Kong Limited |
Rep | Type 9 — Asset management | 2014-05-13 | 2017-04-28 |