Tan, Pun Shing 陳本勝

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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 HSBC BROKING FOREX (ASIA) LIMITED Rep Leveraged foreign exchange trading 2003-06-01
2 HSBC BROKING FUTURES (ASIA) LIMITED Rep Advising on futures contracts 2003-06-01
3 HSBC BROKING FUTURES (ASIA) LIMITED Rep Asset management 2003-06-01
4 HSBC BROKING FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2003-06-01
5 HSBC BROKING FUTURES (HONG KONG) LIMITED Rep Advising on futures contracts 2003-06-01
6 HSBC BROKING FUTURES (HONG KONG) LIMITED Rep Asset management 2003-06-01
7 HSBC BROKING FUTURES (HONG KONG) LIMITED Rep Dealing in futures contracts 2003-06-01
8 HSBC BROKING SECURITIES (ASIA) LIMITED Rep Advising on corporate finance 2003-06-01
9 HSBC BROKING SECURITIES (ASIA) LIMITED Rep Advising on securities 2003-06-01
10 HSBC BROKING SECURITIES (ASIA) LIMITED Rep Asset management 2003-06-01
11 HSBC BROKING SECURITIES (ASIA) LIMITED Rep Automated trading services 2003-06-01
12 HSBC BROKING SECURITIES (ASIA) LIMITED Rep Dealing in securities 2003-06-01
13 Planetree Securities Limited Rep Dealing in securities 2008-11-04 2008-12-30
14 MIDLAND WEALTH MANAGEMENT LIMITED Rep Advising on securities 2013-10-21 2017-06-14
15 MIDLAND WEALTH MANAGEMENT LIMITED Rep Dealing in securities 2013-10-21 2017-06-14
16 TC Investment Management (Asia) Limited Rep Advising on securities 2017-10-03 2019-10-08
17 TC Investment Management (Asia) Limited Rep Dealing in securities 2017-10-03 2019-10-08

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