Tham, Wai Ming 譚維明
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 | Crosby Securities Limited | Rep | Advising on securities | 2024-03-12 | 2024-05-23 | Rep | Asset management | 2024-03-12 | 2024-05-23 | Rep | Dealing in securities | 2024-03-12 | 2024-05-23 |
2 | KGI ASIA LIMITED | Rep | Dealing in securities | 2015-11-16 | 2017-08-27 | Rep | Advising on securities | 2016-12-02 | 2017-08-27 |
3 | Opus Capital Management Limited | Rep | Asset management | 2019-09-18 | 2021-12-15 |
4 | Quam Securities Limited | Rep | Asset management | 2022-05-24 | 2023-12-29 | Rep | Dealing in securities | 2022-05-24 | 2023-12-29 |
5 | SBI China Capital Financial Services Limited | Rep | Dealing in securities | 2013-03-08 | 2015-11-06 | Rep | Advising on securities | 2017-08-31 | 2019-09-05 | Rep | Dealing in securities | 2017-08-31 | 2019-09-05 | Rep | Asset management | 2018-02-12 | 2019-09-05 |
6 | UZen Securities Limited | Rep | Dealing in securities | 2019-09-18 | 2021-12-15 |
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