Chan, Ka Yan (SFC:BBU615) 陳家寅
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in futures contracts | 2022-05-20 | 2024-05-02 | Rep | Dealing in securities | 2022-05-20 | 2024-05-02 |
| 2 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2015-07-08 | 2015-11-03 | Rep | Dealing in securities | 2015-07-08 | 2015-11-03 | Rep | Advising on futures contracts | 2015-07-08 | 2022-03-25 | Rep | Dealing in futures contracts | 2015-07-08 | 2022-03-25 |
| 3 | J.P. MORGAN SECURITIES (FAR EAST) LIMITED | Rep | Advising on securities | 2015-07-08 | 2022-03-25 | Rep | Dealing in securities | 2015-07-08 | 2022-03-25 |
| 4 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2013-09-05 | 2015-07-03 |
| 5 | Morgan Stanley Hong Kong Securities Limited | Rep | Automated trading services | 2013-09-05 | 2015-07-03 | Rep | Dealing in futures contracts | 2013-09-05 | 2015-07-03 | Rep | Dealing in securities | 2013-09-05 | 2015-07-03 |
| 6 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2024-10-03 | Rep | Dealing in securities | 2024-10-03 |
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