Tan, Chia Tien 譚家典
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 | GRAND CATHAY SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-08-02 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | Rep | 2004-08-03 | 2009-03-01 | KGI CAPITAL (HONG KONG) LIMITED | Rep | 2006-09-11 | 2009-03-01 |
| 2 | GRAND CATHAY SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2004-08-02 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | Rep | 2004-08-03 | 2005-02-17 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | Rep | 2005-05-23 | 2009-03-01 | Open Asset Management Limited | RO | 2009-08-28 | 2012-03-28 | Open Securities Limited | RO | 2009-08-28 | 2012-03-21 |
| 3 | GRAND CATHAY SECURITIES (HONG KONG) LIMITED | Rep | Asset management | 2004-08-02 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | Rep | 2004-08-03 | 2005-02-17 | Open Asset Management Limited | RO | 2011-03-08 | 2012-03-28 |
| 4 | GRAND CATHAY SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-08-02 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | Rep | 2004-08-03 | 2009-03-01 | Open Securities Limited | RO | 2009-08-28 | 2012-03-21 |
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