Tan, James Seng Yee 陳胂餘
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 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2018-02-14 | 2020-03-16 | Rep | Dealing in securities | 2018-02-14 | 2020-03-16 |
| 2 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2010-12-16 | 2015-11-03 | Rep | Advising on securities | 2010-12-16 | 2015-11-03 | Rep | Dealing in futures contracts | 2010-12-16 | 2015-11-03 | Rep | Dealing in securities | 2010-12-16 | 2015-11-03 |
| 3 | MF Global Hong Kong Limited | Rep | Dealing in futures contracts | 2009-08-17 | 2010-11-19 | Rep | Dealing in securities | 2009-08-17 | 2010-11-19 |
| 4 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2020-06-17 |
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