Chan, Yi Sum 陳鐿心
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 | CENTRAL WEALTH ASSET MANAGEMENT LIMITED | Rep | Asset management | 2021-03-12 | |
2 | CENTRAL WEALTH FUTURES LIMITED | Rep | Dealing in futures contracts | 2017-08-14 | 2017-10-03 | RO | Dealing in futures contracts | 2017-10-03 | 2023-04-03 | RO | Advising on futures contracts | 2019-12-10 | 2023-04-03 |
3 | CENTRAL WEALTH SECURITIES INVESTMENT LIMITED | Rep | Dealing in securities | 2017-08-14 | 2017-10-03 | RO | Dealing in securities | 2017-10-03 | RO | Advising on securities | 2019-12-10 |
4 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Advising on corporate finance | 2003-05-26 | Rep | Advising on securities | 2003-05-26 | Rep | Asset management | 2003-05-26 | Rep | Automated trading services | 2003-05-26 | Rep | Dealing in securities | 2003-05-26 |
5 | CMBC INTERNATIONAL FUTURES COMPANY LIMITED | RO | Dealing in futures contracts | 2012-09-25 | 2017-06-09 |
6 | CMBC SECURITIES COMPANY LIMITED | RO | Dealing in securities | 2012-09-25 | 2017-06-09 |
7 | Huarong International Securities Limited | Rep | Dealing in securities | 2005-05-19 | 2007-07-27 | Rep | Dealing in futures contracts | 2005-05-20 | 2007-07-27 |
8 | MANGO FINANCIAL LIMITED | Rep | Advising on securities | 2003-07-30 | 2005-05-04 | Rep | Dealing in securities | 2003-07-30 | 2005-05-04 |
9 | ONE CHINA SECURITIES LIMITED | Rep | Dealing in futures contracts | 2007-08-16 | 2009-04-09 | Rep | Dealing in securities | 2007-08-16 | 2009-04-09 |
10 | ORIENTAL WEALTH FUTURES LIMITED | RO | Dealing in futures contracts | 2009-06-18 | 2012-07-31 |
11 | ORIENTAL WEALTH SECURITIES LIMITED | Rep | Dealing in securities | 2009-04-21 | 2010-01-20 | RO | Dealing in securities | 2010-01-20 | 2012-07-31 |
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