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TANG Shu Yan

鄧樹仁
CE ACP234Licensed IndividualSFO licence active
Official SFC record

TANG Shu Yan (CE number ACP234) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management).

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeTFI Securities and Futures Limited
天風國際證券與期貨有限公司

Licence Record (10)

2024-11-06 – present Current
TFI Securities and Futures Limited Rep
RA 1
2023-02-27 – 2024-10-31
Valuable Capital Limited Rep
RA 1
2015-05-14 – 2017-04-19
Fulbright Securities Limited Rep
RA 1
2012-03-05 – 2023-01-26
China Galaxy International Securities (Hong Kong) Co., Limited Rep
RA 1
2010-05-03 – 2012-03-01
CVP Securities Limited Rep
RA 1
2005-04-01 – 2010-04-28
Yuanta Asia Investment (Hong Kong) Limited Rep
RA 1
2004-02-16 – 2005-04-01
CITIC Securities Brokerage (HK) Limited Rep
RA 1
2003-06-27 – 2004-02-12
UOB Kay Hian (Hong Kong) Limited Rep
RA 1
2003-04-01 – 2003-04-11
Core Pacific - Yamaichi International (H.K.) Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2003-04-11
Core Pacific-Yamaichi Securities (H.K.) Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ACP234