Jack Kwok Wai Tam
譚國偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jack Kwok Wai Tam (譚國偉), a licensed former licensee with CE reference AAA196. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Afflux Securities Limited 上高證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-11-14 | 2019-10-15 |
| Afflux Securities Limited 上高證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-11-14 | 2019-10-15 |
| Quam Securities Limited 華富建業證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-05-31 | 2016-06-30 |
| Quam Securities Limited 華富建業證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-05-31 | 2016-06-30 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-04-27 | 2016-05-31 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-04-27 | 2016-05-31 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-04-27 | 2016-06-30 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2015-03-27 | 2015-09-16 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2014-04-28 | 2015-09-16 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2014-04-28 | 2015-09-16 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2014-04-28 | 2015-09-16 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | 2014-04-28 | 2015-09-16 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2014-04-28 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2014-04-28 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2013-08-19 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | present | 2014-04-28 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-09-10 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-09-10 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-09-10 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-09-10 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-02 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-09-10 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-09-10 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2004-09-10 |