Tam, Kwok Leung (SFC:AFT103) 譚國樑
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 | CCB INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2006-07-14 | 2008-03-14 | Rep | Dealing in securities | 2006-07-19 | 2008-03-14 | RO | Dealing in securities | 2008-03-14 | 2008-09-14 | RO | Advising on corporate finance | 2008-03-14 | 2013-06-21 | Rep | Dealing in securities | 2009-08-11 | 2013-06-21 |
| 2 | GUOTAI JUNAN CAPITAL LIMITED | Rep | Advising on corporate finance | 2005-01-29 | |
| 3 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-12-30 | Rep | Advising on securities | 2003-12-30 | Rep | Asset management | 2003-12-30 |
| 4 | INNOVAX CAPITAL LIMITED | RO | Advising on corporate finance | 2016-09-01 | 2017-01-27 | RO | Dealing in securities | 2016-09-01 | 2017-01-27 |
| 5 | Mason Securities Limited | Rep | Advising on corporate finance | 2005-02-21 | 2006-06-21 |
| 6 | PULSAR CAPITAL LIMITED (HK) | RO | Advising on corporate finance | 2017-03-01 | RO | Dealing in securities | 2017-03-01 |
| 7 | ZHONGTAI INTERNATIONAL CAPITAL LIMITED | RO | Advising on corporate finance | 2014-01-07 | 2016-08-22 | RO | Dealing in securities | 2014-01-07 | 2016-08-22 |
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