Chan, Ka Wai (SFC:APP683) 陳嘉慧

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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 CELESTIAL COMMODITIES LIMITED Rep Dealing in futures contracts 2007-09-10 2009-11-30
2 CELESTIAL SECURITIES LIMITED Rep Dealing in securities 2007-09-10 2009-11-30
3 FRONTIER CAPITAL MANAGEMENT LIMITED (HK) Rep Dealing in securities 2013-06-26 2014-03-11
Rep Advising on securities 2013-11-04 2014-03-11
Rep Asset management 2013-11-04 2014-03-11
4 HSBC BROKING FOREX (ASIA) LIMITED Rep Leveraged foreign exchange trading 2014-08-14 2016-03-02
5 HSBC BROKING FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2014-04-01 2016-03-02
6 HSBC BROKING SECURITIES (ASIA) LIMITED Rep Dealing in securities 2014-04-01 2016-03-02
Rep Advising on securities 2015-03-24 2016-03-02
7 Quam Securities Limited Rep Advising on securities 2016-06-23 2016-10-13
Rep Dealing in futures contracts 2016-06-23 2016-10-13
Rep Dealing in securities 2016-06-23 2016-10-13
Rep Dealing in futures contracts 2018-05-10 2022-02-28
Rep Dealing in securities 2018-05-10 2022-02-28
8 UOB KAY HIAN (HONG KONG) LIMITED Rep Dealing in securities 2009-12-03 2012-09-28
9 UOB KAY HIAN FUTURES (HONG KONG) LIMITED Rep Dealing in futures contracts 2009-12-03 2012-09-28
10 Vantum Asset Management Limited RO Advising on securities 2023-05-05
RO Asset management 2023-05-05
11 Vantum Futures Limited RO Dealing in futures contracts 2024-05-07
12 ZHONGTAI INTERNATIONAL FUTURES LIMITED Rep Dealing in futures contracts 2013-03-04 2013-06-17
Rep Dealing in futures contracts 2017-10-18 2018-04-25
13 ZHONGTAI INTERNATIONAL SECURITIES LIMITED Rep Dealing in securities 2013-01-03 2013-06-17
Rep Dealing in securities 2017-10-18 2018-04-25

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