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THAM Wai Ming

譚維明
CE BAZ626Licensed IndividualSFO licence active
Official SFC record

THAM Wai Ming (CE number BAZ626) is an individual licensed by the Hong Kong SFC. First licensed on 2013-03-08. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (3)

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

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeHaitong International Securities Company Limited
海通國際證券有限公司

Licence Record (7)

2025-07-24 – present Current
Haitong International Securities Company Limited Rep
RA 1 RA 4
2024-03-12 – 2024-05-23
Crosby Securities Limited Rep
RA 1 RA 4 RA 9
2022-05-24 – 2023-12-29
Quam Securities Limited Rep
RA 1 RA 9
2019-09-18 – 2021-12-15
UZen Securities Limited Rep
RA 1
2019-09-18 – 2021-12-15
Opus Capital Management Limited Rep
RA 9
2015-11-16 – 2017-08-27
KGI Asia Limited Rep
RA 1 RA 4
2013-03-08 – 2019-09-05
SBI China Capital Financial Services Limited Rep
RA 1 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/BAZ626