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TAM Ping Yee

譚秉義
CE AFC647Licensed IndividualSFO licence active
Official SFC record

TAM Ping Yee (CE number AFC647) 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 2 (Futures dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management).

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeCNI Global Assets Management Limited
中國北方環球資產管理有限公司
RepresentativeCNI Securities Group Limited
中國北方證券集團有限公司

Licence Record (6)

2022-12-08 – present Current
CNI Securities Group Limited Rep
RA 1
2022-12-08 – present Current
CNI Global Assets Management Limited Rep
RA 9
2018-12-20 – 2022-11-30
Ethk Funds Limited Rep
RA 9
2004-05-17 – 2022-10-24
VC Futures Limited Rep
RA 2
2004-03-03 – 2022-11-30
VC Brokerage Limited Rep
RA 1
2003-04-01 – 2004-02-29
Hua Nan Securities (HK) Limited Rep
RA 1

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/AFC647