Yan, Danny Kai Chi 甄啟智
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 | CC Finance Limited | Rep | Advising on securities | 2006-09-25 | 2007-04-01 |
2 | CITIC Securities Asset Management (HK) Limited | Rep | Advising on securities | 2011-11-14 | 2013-12-30 | Rep | Asset management | 2011-11-14 | 2013-12-30 | RO | Advising on securities | 2013-12-30 | 2018-04-20 | RO | Asset management | 2013-12-30 | 2018-04-20 |
3 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2004-09-21 | 2006-07-21 |
4 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2004-09-21 | 2006-07-21 |
5 | CMS ASSET MANAGEMENT (HK) CO., LIMITED | Rep | Advising on securities | 2018-06-14 | 2018-09-07 | Rep | Asset management | 2018-06-14 | 2018-09-07 |
6 | CSI Corporate Finance (HK) Limited | Rep | Advising on corporate finance | 2003-12-31 | Rep | Advising on securities | 2004-07-30 | Rep | Asset management | 2004-09-16 |
7 | HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED | Rep | Advising on futures contracts | 2010-04-13 | 2011-10-08 | Rep | Advising on securities | 2010-04-13 | 2011-10-08 | Rep | Asset management | 2010-04-13 | 2011-10-08 |
8 | HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2008-08-19 | 2009-03-26 | Rep | Asset management | 2008-08-19 | 2009-03-26 | Rep | Advising on futures contracts | 2009-02-25 | 2009-05-12 | RO | Advising on securities | 2009-03-26 | 2011-10-08 | RO | Asset management | 2009-03-26 | 2011-10-08 |
9 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Advising on futures contracts | 2009-05-21 | 2011-10-08 |
10 | HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED | Rep | Advising on securities | 2008-08-19 | 2009-03-26 | Rep | Asset management | 2008-08-19 | 2009-03-26 | RO | Advising on securities | 2009-03-26 | 2011-10-08 | RO | Asset management | 2009-03-26 | 2011-10-08 |
11 | Nikko Asset Management Hong Kong Limited | Rep | Advising on securities | 2007-11-20 | 2008-07-18 | Rep | Asset management | 2007-11-20 | 2008-07-18 |
12 | Quam Asset Management Limited (b1983-06-28) | Rep | Advising on securities | 2018-11-02 | 2019-03-18 | Rep | Asset management | 2018-11-02 | 2019-03-18 | RO | Advising on securities | 2019-03-18 | 2021-07-12 | RO | Asset management | 2019-03-18 | 2021-07-12 | Rep | Dealing in securities | 2020-04-20 | 2021-07-12 |
13 | Quam Securities Limited | Rep | Dealing in securities | 2018-12-18 | 2020-04-20 |
14 | Vision Capital Investment Management Limited | Rep | Advising on securities | 2004-03-18 | 2004-07-30 | Rep | Asset management | 2004-03-18 | 2004-09-16 |
15 | Wealth Harbour Investment & Management Co., Limited | RO | Advising on securities | 2022-03-14 | 2024-04-30 | RO | Asset management | 2022-03-14 | 2024-04-30 |
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