Ronald Kwok Ho Tam
譚國豪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ronald Kwok Ho Tam (譚國豪), a licensed former licensee with CE reference AHU748. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-11 | 2013-06-24 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-03-11 | 2013-06-24 |
| Stanhill (Hong Kong) Limited 高誠集團(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-11-29 | 2011-02-28 |
| Stanhill (Hong Kong) Limited 高誠集團(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-11-29 | 2011-02-28 |
| Stanhill (Hong Kong) Limited 高誠集團(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-01-25 | 2010-06-30 |
| Stanhill (Hong Kong) Limited 高誠集團(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-01-25 | 2010-06-30 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-11-20 | 2009-03-31 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-11-20 | 2009-03-31 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2007-12-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2007-12-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-06-01 |