Tam, Kim Fai 談儉輝
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 | CIS SECURITIES ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2019-01-16 | 2019-01-17 | Rep | Asset management | 2019-01-16 | 2019-01-17 | Rep | Dealing in futures contracts | 2019-01-16 | 2019-01-17 | Rep | Dealing in securities | 2019-01-16 | 2019-01-17 | RO | Advising on securities | 2019-01-17 | 2019-05-03 | RO | Asset management | 2019-01-17 | 2019-05-03 | RO | Dealing in futures contracts | 2019-01-17 | 2019-05-03 | RO | Dealing in securities | 2019-01-17 | 2019-05-03 |
2 | FORMAX ASSET MANAGEMENT LIMITED | Rep | Asset management | 2015-10-26 | 2017-11-08 | RO | Asset management | 2017-11-08 | 2019-01-15 |
3 | FORMAX SECURITIES LIMITED | Rep | Dealing in futures contracts | 2015-10-26 | 2015-12-10 | Rep | Dealing in securities | 2015-10-26 | 2015-12-10 | RO | Dealing in futures contracts | 2015-12-10 | 2019-01-15 | RO | Dealing in securities | 2015-12-10 | 2019-01-15 |
4 | GAYANG SECURITIES LIMITED | Rep | Advising on securities | 2004-10-15 | |
5 | Hope Securities Limited (HK) | Rep | Dealing in securities | 2019-05-06 | 2019-07-02 | RO | Dealing in securities | 2019-07-02 | 2024-08-16 | RO | Advising on futures contracts | 2019-11-28 | 2024-08-16 | RO | Advising on securities | 2019-11-28 | 2024-08-16 | RO | Asset management | 2019-11-28 | 2024-08-16 | RO | Dealing in futures contracts | 2019-11-28 | 2024-08-16 |
6 | PHILLIP CAPITAL MANAGEMENT (HK) LIMITED | Rep | Asset management | 2015-04-24 | 2015-10-10 |
7 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2004-11-25 | 2015-10-10 | Rep | Leveraged foreign exchange trading | 2008-11-27 | 2015-10-10 |
8 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2004-10-30 | 2015-10-10 |
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