Shern Puay Tan
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shern Puay Tan ( ), a licensed former licensee with CE reference BMX677. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 - Dealing in securities | 2025-03-24 | 2025-04-04 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 - Dealing in securities | 2024-08-21 | 2024-08-24 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 1 - Dealing in securities | 2018-05-25 | 2023-04-19 |