SFC Licences of THAM Wai Ming 譚維明

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
Crosby Securities Limited 高誠證券有限公司	RE	9	12 March 2024
Crosby Securities Limited 高誠證券有限公司	RE	4	12 March 2024
Crosby Securities Limited 高誠證券有限公司	RE	1	12 March 2024
Quam Securities Limited 華富建業證券有限公司	RE	9	24 May 2022	29 December 2023
Quam Securities Limited 華富建業證券有限公司	RE	1	24 May 2022	29 December 2023
Opus Securities Limited 創富證券有限公司	RE	1	18 September 2019	15 December 2021
Opus Capital Management Limited 創富資本管理有限公司	RE	9	18 September 2019	15 December 2021
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司	RE	9	12 February 2018	05 September 2019
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司	RE	4	31 August 2017	05 September 2019
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司	RE	1	31 August 2017	05 September 2019
KGI Asia Limited 凱基證券亞洲有限公司	RE	4	02 December 2016	27 August 2017
KGI Asia Limited 凱基證券亞洲有限公司	RE	1	16 November 2015	27 August 2017
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司	RE	1	08 March 2013	06 November 2015