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THAM Seng Yum, Ronald

譚承蔭
CE ALF563Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

THAM Seng Yum, Ronald (CE number ALF563) is an individual licensed by the Hong Kong SFC. First licensed on 2004-09-07. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerLink Asset Management Limited
領展資產管理有限公司

Licence Record (6)

2023-05-22 – present Current
Link Asset Management Limited RO
RA 9
2023-04-28 – 2023-05-22
Link Asset Management Limited Rep
RA 9
2005-03-15 – 2010-10-13
Macquarie Capital Limited RO
RA 1 RA 6
2005-03-15 – 2010-10-13
Macquarie Corporate (Hong Kong) Limited RO
RA 6
2004-09-07 – 2005-03-15
Macquarie Capital Limited Rep
RA 1 RA 6
2004-09-07 – 2005-03-15
Macquarie Corporate (Hong Kong) Limited Rep
RA 6

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/ALF563