Chan, Ernest Tsz Kin 陳子建
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 | CIS SECURITIES ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2023-03-30 | 2023-07-11 | Rep | Asset management | 2023-03-30 | 2023-07-11 | Rep | Dealing in securities | 2023-03-30 | 2023-07-11 | RO | Advising on securities | 2023-07-11 | RO | Asset management | 2023-07-11 | RO | Dealing in securities | 2023-07-11 |
| 2 | Keptain Securities and Asset Management Limited | RO | Asset management | 2013-01-24 | 2019-05-31 | RO | Dealing in securities | 2013-01-24 | 2019-05-31 |
| 3 | OnePlatform Asset Management Limited | Rep | Advising on securities | 2010-03-16 | Rep | Dealing in securities | 2007-09-12 | 2010-03-16 | RO | Asset management | 2009-08-06 | 2010-03-16 |
| 4 | Sprout Asset Management (Asia) Limited | RO | Advising on securities | 2019-06-10 | 2022-07-12 | RO | Asset management | 2019-06-10 | 2022-07-12 | RO | Dealing in securities | 2019-06-10 | 2022-07-12 | Rep | Advising on securities | 2022-07-12 | 2023-02-20 | Rep | Asset management | 2022-07-12 | 2023-02-20 | Rep | Dealing in securities | 2022-07-12 | 2023-02-20 |
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