Chan, Karen Ka Ning 陳嘉寧
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | Legg Mason Asset Management Hong Kong Limited | Rep | Advising on futures contracts | 2004-07-05 | 2006-05-26 | Rep | Advising on securities | 2004-07-05 | 2011-07-06 | Rep | Asset management | 2004-07-05 | 2011-07-06 | Rep | Dealing in securities | 2005-12-01 | 2011-07-06 |
2 | Legg Mason International Equities (Hong Kong) Limited | Rep | Advising on futures contracts | 2004-07-05 | 2006-05-26 | Rep | Advising on securities | 2004-07-05 | 2011-07-06 | Rep | Asset management | 2004-07-05 | 2011-07-06 | Rep | Dealing in securities | 2004-07-05 | 2011-07-06 |
3 | NAN FUNG INVESTMENT ADVISER LIMITED | Rep | Asset management | 2013-06-11 | 2014-12-05 |
4 | NF Trinity Capital (Hong Kong) Limited | Rep | Asset management | 2014-12-15 | 2017-08-07 |
5 | UBS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2011-08-01 | 2013-01-25 | Rep | Asset management | 2011-08-01 | 2013-01-25 |
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