Tam, Yui Chit Jeffrey 譚睿哲
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 | ARISTO SECURITIES LIMITED | Rep | Dealing in securities | 2018-12-12 | 2019-08-07 |
| 2 | CAITONG INTERNATIONAL CAPITAL CO., LIMITED | Rep | Dealing in securities | 2023-02-17 | 2023-05-23 | Rep | Advising on corporate finance | 2023-02-17 | 2023-07-04 | RO | Dealing in securities | 2023-05-23 | 2023-07-04 |
| 3 | CAITONG INTERNATIONAL SECURITIES CO., LIMITED | Rep | Dealing in securities | 2023-02-17 | 2023-05-23 | Rep | Advising on securities | 2023-02-17 | 2023-07-04 | RO | Dealing in securities | 2023-05-23 | 2023-07-04 |
| 4 | CINDA INTERNATIONAL CAPITAL LIMITED | Rep | Dealing in securities | 2019-09-03 | 2021-10-01 |
| 5 | EMPEROR CORPORATE FINANCE LIMITED | Rep | Advising on corporate finance | 2023-12-15 | |
| 6 | EMPEROR SECURITIES LIMITED (HK) | Rep | Advising on securities | 2023-10-26 | Rep | Dealing in securities | 2023-10-26 |
| 7 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2018-05-25 | 2018-07-19 |
| 8 | SHANXI SECURITIES INTERNATIONAL LIMITED | Rep | Dealing in securities | 2021-10-15 | 2022-08-21 |
| 9 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2022-09-27 | 2022-10-13 | Rep | Advising on securities | 2022-10-13 | 2023-01-31 | RO | Dealing in securities | 2022-10-13 | 2023-01-31 |
| 10 | SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | Dealing in securities | 2022-09-27 | 2022-10-13 | Rep | Advising on corporate finance | 2022-10-13 | 2023-01-31 | RO | Dealing in securities | 2022-10-13 | 2023-01-31 |
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