Denise Wan Rou Tam
譚菀柔
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Denise Wan Rou Tam (譚菀柔), a licensed former licensee with CE reference AQS365. This person has 13.1 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2020-07-22 | 2024-08-02 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2020-07-22 | 2024-08-02 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2020-07-22 | 2024-08-02 |
| UBS Securities Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | 2020-07-22 | 2024-08-02 |
| UBS Securities Hong Kong Limited | Rep | Type 7 - Providing automated trading services | 2020-07-22 | 2024-08-02 |
| Rothschild & Co Wealth Management Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2012-02-08 | 2017-08-08 |
| Rothschild & Co Wealth Management Hong Kong Limited | Rep | Type 4 - Advising on securities | 2012-02-08 | 2017-08-08 |
| La Roche & Co Asia Limited 瑞羅亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2008-03-26 | 2011-10-14 |
| La Roche & Co Asia Limited 瑞羅亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2008-03-26 | 2011-10-14 |
| La Roche & Co Asia Limited 瑞羅亞洲有限公司 |
Rep | Type 9 - Asset management | 2008-03-26 | 2008-11-20 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Denise Wan Rou Tam 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.