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TAN Yan

譚燕
CE AXV124Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

TAN Yan (CE number AXV124) is an individual licensed by the Hong Kong SFC. First licensed on 2011-11-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerGuoyuan Futures (Hong Kong) Limited
國元期貨(香港)有限公司
Responsible OfficerGuoyuan Securities Brokerage (Hong Kong) Limited
國元証券經紀(香港)有限公司

Licence Record (4)

2018-06-08 – present Current
Guoyuan Securities Brokerage (Hong Kong) Limited RO
RA 1 RA 4
2018-06-08 – present Current
Guoyuan Futures (Hong Kong) Limited RO
RA 2
2011-11-01 – 2018-06-08
Guoyuan Securities Brokerage (Hong Kong) Limited Rep
RA 1
2011-11-01 – 2018-06-08
Guoyuan Futures (Hong Kong) Limited Rep
RA 2

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/AXV124