Carmen Ka Heng Tam
譚嘉恒
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carmen Ka Heng Tam (譚嘉恒), a licensed former licensee with CE reference ARL253. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Kudos Summit Asset Management Limited 森翹資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2024-02-23 | 2025-05-31 |
| Kudos Summit Asset Management Limited 森翹資產管理有限公司 |
Rep | Type 9 — Asset management | 2024-02-23 | 2025-05-31 |
| STI Asset Management Limited | Rep | Type 1 — Dealing in securities | 2018-03-20 | 2022-03-31 |
| STI Asset Management Limited | Rep | Type 4 — Advising on securities | 2018-03-20 | 2022-03-31 |
| STI Asset Management Limited | Rep | Type 9 — Asset management | 2018-03-20 | 2022-03-31 |
| VMS Securities Limited 鼎珮證券有限公司 |
Rep | Type 4 — Advising on securities | 2013-08-15 | 2015-05-31 |
| VMS Securities Limited 鼎珮證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-08-15 | 2015-05-31 |
| VMS Securities Limited 鼎珮證券有限公司 |
Rep | Type 9 — Asset management | 2013-08-15 | 2015-05-31 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-02-06 | 2013-04-15 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-02-06 | 2013-04-15 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-02-06 | 2013-04-15 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-07 | 2010-08-28 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-07-07 | 2010-08-28 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-07-07 | 2010-08-28 |
| Yu Ming Investment Management Limited 禹銘投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2008-09-12 | 2010-04-30 |
| Yu Ming Investment Management Limited 禹銘投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2008-09-12 | 2010-04-30 |
| Yu Ming Investment Management Limited 禹銘投資管理有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-09-12 | 2010-04-30 |
| Yu Ming Investment Management Limited 禹銘投資管理有限公司 |
Rep | Type 9 — Asset management | 2008-09-12 | 2010-04-30 |