Tam, Josiah Chung Fai 譚仲暉
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in futures contracts | 2019-08-12 | 2022-06-30 | Rep | Dealing in securities | 2019-08-12 | 2022-06-30 |
2 | BNP PARIBAS FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-05-15 | 2011-12-30 |
3 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2008-05-15 | 2019-05-08 | Rep | Dealing in futures contracts | 2011-09-15 | 2019-05-08 |
4 | Capstone Investment Advisors (HK) Limited | Rep | Asset management | 2022-07-28 | 2023-07-07 | RO | Asset management | 2023-07-07 | 2023-07-14 |
5 | Capula Investment Management Asia Limited | Rep | Asset management | 2023-10-09 | Rep | Dealing in securities | 2023-10-16 |
6 | Merrill Lynch (Asia Pacific) Limited | Rep | Dealing in securities | 2005-08-31 | 2008-02-07 |
7 | Merrill Lynch Far East Limited | Rep | Dealing in securities | 2005-08-31 | 2008-02-07 |
8 | MERRILL LYNCH FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2005-08-31 | 2008-02-07 |
9 | PARIBAS ASIA EQUITY LIMITED | Rep | Dealing in securities | 2008-05-15 | 2011-12-30 |
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