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TAM Wai Lun

譚偉倫
CE BEI396Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

TAM Wai Lun (CE number BEI396) is an individual licensed by the Hong Kong SFC. First licensed on 2016-01-18. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

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

Roles & Accreditations (4)

CapacityCompany / Institution
Responsible OfficerKGI Asia Limited
凱基證券亞洲有限公司
Responsible OfficerKGI Futures (Hong Kong) Limited
凱基期貨(香港)有限公司
RepresentativeKGI Asset Management Limited
凱基資產管理有限公司
RepresentativeKGI Capital Asia Limited
凱基金融亞洲有限公司

Licence Record (7)

2024-01-02 – present Current
KGI Capital Asia Limited Rep
RA 1 RA 4
2023-06-02 – present Current
KGI Asia Limited RO
RA 1
2023-06-02 – present Current
KGI Futures (Hong Kong) Limited RO
RA 2
2018-08-21 – present Current
KGI Asset Management Limited Rep
RA 9
2017-10-03 – 2023-06-02
KGI Asia Limited Rep
RA 1
2016-01-18 – 2017-10-02
KGI Asia Limited Rep
RA 1
2016-01-18 – 2023-06-02
KGI 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/BEI396