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TAN Siew Ming

陳秀敏
CE ALO563Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

TAN Siew Ming (CE number ALO563) is an individual licensed by the Hong Kong SFC. First licensed on 2004-12-29. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerMorgan Stanley Asia Limited
摩根士丹利亞洲有限公司

Licence Record (5)

2018-03-29 – present Current
Morgan Stanley Asia Limited RO
RA 1
2011-09-07 – 2018-03-29
Morgan Stanley Asia Limited Rep
RA 1
2009-12-23 – 2011-07-31
Threadneedle Portfolio Services Hong Kong Limited RO
RA 1
2008-12-19 – 2009-12-23
Threadneedle Portfolio Services Hong Kong Limited Rep
RA 1
2004-12-29 – 2008-09-26
UBS Asset Management (Hong Kong) Limited Rep
RA 4 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/ALO563