Ken Wai Ming Tam
譚偉明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ken Wai Ming Tam (譚偉明), a licensed former licensee with CE reference AFJ250. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-08-14 | 2020-12-31 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2020-08-14 | 2020-12-31 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2020-08-14 | 2020-12-31 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2015-09-21 | 2020-08-14 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2015-09-21 | 2020-08-14 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
RO | Type 9 — Asset management | 2015-09-21 | 2020-08-14 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-09-02 | 2015-09-21 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2015-09-02 | 2015-09-21 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2015-09-02 | 2015-09-21 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
RO | Type 1 — Dealing in securities | 2014-06-10 | 2015-08-08 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
RO | Type 4 — Advising on securities | 2014-06-10 | 2015-08-08 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
RO | Type 9 — Asset management | 2014-06-10 | 2015-08-08 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 1 — Dealing in securities | 2014-03-24 | 2014-06-10 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 4 — Advising on securities | 2014-03-24 | 2014-06-10 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 9 — Asset management | 2014-03-24 | 2014-06-10 |
| JF International Management Inc. | RO | Type 4 — Advising on securities | 2012-01-17 | 2012-12-22 |
| JPMorgan Funds (Asia) Limited 摩根基金(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2006-11-13 | 2012-12-22 |
| JPMorgan Funds (Asia) Limited 摩根基金(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2006-11-13 | 2012-12-22 |
| JF International Management Inc. | RO | Type 9 — Asset management | 2006-07-18 | 2012-12-22 |
| JPMorgan Asset Management (Asia Pacific) Limited | RO | Type 9 — Asset management | 2006-05-30 | 2012-12-22 |
| JPMorgan Funds (Asia) Limited 摩根基金(亞洲)有限公司 |
RO | Type 9 — Asset management | 2006-05-30 | 2012-12-22 |