Siu Ling Tam
譚少玲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Ling Tam (譚少玲), a licensed former licensee with CE reference AAF537. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ICBC (Asia) Securities Limited 工銀亞洲証券有限公司 |
RO | Type 1 — Dealing in securities | present | 2024-01-07 |
| ICBC (Asia) Securities Limited 工銀亞洲証券有限公司 |
RO | Type 4 — Advising on securities | present | 2024-01-07 |
| ICBC (Asia) Securities Limited 工銀亞洲証券有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2005-01-25 |
| ICBC (Asia) Securities Limited 工銀亞洲証券有限公司 |
RO | Type 7 — Providing automated trading services | present | 2005-01-25 |
| ICBC (Asia) Securities Limited 工銀亞洲証券有限公司 |
RO | Type 9 — Asset management | present | 2005-01-25 |