Yan Wang Tam
譚恩泓
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yan Wang Tam (譚恩泓), a licensed Responsible Officer with CE reference BBI783. Currently licensed at 2 firm(s): Caitong International Securities Co., Limited, Caitong International Asset Management Co., Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 16.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Caitong International Securities Co., Limited 財通國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2024-08-22 | present |
| Caitong International Securities Co., Limited 財通國際證券有限公司 |
RO | Type 4 — Advising on securities | 2024-08-22 | present |
| Caitong International Asset Management Co., Limited 財通國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2024-06-19 | present |
| Caitong International Securities Co., Limited 財通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2024-06-19 | 2024-08-22 |
| Caitong International Securities Co., Limited 財通國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2024-06-19 | 2024-08-22 |
| Future Securities Limited 未來證券有限公司 |
RO | Type 9 — Asset management | 2022-03-21 | 2024-05-31 |
| Future Securities Limited 未來證券有限公司 |
RO | Type 4 — Advising on securities | 2019-12-24 | 2024-05-31 |
| Future Securities Limited 未來證券有限公司 |
RO | Type 5 — Advising on futures contracts | 2019-12-24 | 2024-05-31 |
| Future Securities Limited 未來證券有限公司 |
RO | Type 9 — Asset management | 2019-09-09 | 2020-03-27 |
| Future Securities Limited 未來證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-12-11 | 2024-05-31 |
| Future Securities Limited 未來證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-12-11 | 2024-05-31 |
| Future Securities Limited 未來證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-08-29 | 2018-12-11 |
| Future Securities Limited 未來證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-08-29 | 2018-12-11 |
| South China Securities Limited 南華證券投資有限公司 |
RO | Type 1 — Dealing in securities | 2018-01-30 | 2018-08-16 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2013-05-24 | 2018-01-30 |
| South China Commodities Limited 南華期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-05-24 | 2018-08-16 |