Yan Tan
譚燕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan Tan (譚燕), a licensed Responsible Officer with CE reference AXV124. Currently licensed at 2 firm(s): Guoyuan Securities Brokerage (Hong Kong) Limited, Guoyuan Futures (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities. Total licence records on file: 7.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-08-26 | present |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-06-08 | present |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-06-08 | present |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-01-25 | 2018-06-08 |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-01-25 | 2018-06-08 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-11-01 | 2016-09-12 |
| Guoyuan Futures (Hong Kong) Limited 國元期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-11-01 | 2016-09-12 |