Tang, Thomas Yaw Fay 鄧耀輝
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 | AXA Financial Planning (Hong Kong) Limited | Rep | Advising on securities | 2010-01-15 | 2012-04-14 | Rep | Dealing in securities | 2010-02-09 | 2012-04-14 |
| 2 | FWD Financial Planning Limited (HK) | Rep | Advising on securities | 2008-10-30 | 2009-11-12 |
| 3 | Kai Yin Securities Limited | Rep | Advising on securities | 2023-09-06 | 2023-10-13 | RO | Advising on securities | 2023-10-13 | RO | Dealing in securities | 2023-10-13 |
| 4 | Old Peak Capital Limited | RO | Advising on securities | 2017-04-12 | 2019-01-07 | RO | Asset management | 2017-04-12 | 2019-01-07 |
| 5 | Oreana Financial Services Limited | Rep | Advising on securities | 2012-05-07 | 2014-11-19 | Rep | Asset management | 2012-05-07 | 2014-11-19 | Rep | Dealing in securities | 2012-05-07 | 2014-11-19 | Rep | Advising on securities | 2015-08-28 | 2016-12-13 | Rep | Asset management | 2015-08-28 | 2016-12-13 | Rep | Dealing in securities | 2015-08-28 | 2016-12-13 | RO | Advising on securities | 2016-12-13 | 2017-03-13 | RO | Asset management | 2016-12-13 | 2017-03-13 | RO | Dealing in securities | 2016-12-13 | 2017-03-13 |
| 6 | Vico Capital Limited | RO | Dealing in securities | 2019-05-16 | 2023-01-11 | RO | Advising on securities | 2019-05-16 | 2023-06-27 | RO | Asset management | 2019-05-16 | 2023-06-27 |
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