Ka Yan Tam
譚嘉欣
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yan Tam (譚嘉欣), a licensed Representative with CE reference BNP677. Currently licensed at 1 firm(s): Shanggu Asset Management (Asia) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shanggu Asset Management (Asia) Limited 上古亞洲資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2023-03-08 | present |
| Shanggu Asset Management (Asia) Limited 上古亞洲資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2023-03-08 | present |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 1 — Dealing in securities | 2018-11-06 | 2020-05-05 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 4 — Advising on securities | 2018-11-06 | 2020-05-05 |