Wai Ming (SFC:ACE376) Tsang
曾慧明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Ming (SFC:ACE376) Tsang (曾慧明), a licensed former licensee with CE reference ACE376. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| GLAM Capital Limited 港利資本有限公司 |
Rep | Type 1 — Dealing in securities | 2019-07-09 | 2025-08-12 |
| GLAM Capital Limited 港利資本有限公司 |
Rep | Type 4 — Advising on securities | 2019-07-09 | 2025-08-12 |
| GLAM Capital Limited 港利資本有限公司 |
Rep | Type 9 — Asset management | 2019-07-09 | 2025-08-12 |
| Caitong International Securities Co., Limited 財通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-01-25 | 2016-11-04 |
| Caitong International Asset Management Co., Limited 財通國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2016-01-25 | 2016-11-04 |
| Caitong International Asset Management Co., Limited 財通國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2016-01-25 | 2016-11-04 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-02-22 | 2013-04-28 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 — Advising on securities | 2013-02-22 | 2013-04-28 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-02-13 | 2012-11-02 |
| Shenwan Hongyuan Research (H.K.) Limited 申萬宏源研究(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-02-13 | 2012-11-02 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-21 | 2009-10-19 |
| Shenwan Hongyuan Research (H.K.) Limited 申萬宏源研究(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-04-21 | 2009-10-19 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-03-05 | 2007-08-23 |
| Daiwa Institute of Research (Hong Kong) Limited 大和總研(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2003-12-23 | 2007-02-16 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-11-19 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-10-13 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-13 |