Chan, Simon Siu Man (SFC:AOU037) 陳兆文
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 | AXA CHINA REGION INVESTMENT SERVICES LIMITED | Rep | Advising on securities | 2008-09-25 | 2012-01-02 |
| 2 | BCT Financial Limited | Rep | Advising on securities | 2012-02-13 | 2013-06-21 | Rep | Dealing in securities | 2012-02-13 | 2013-06-21 |
| 3 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2013-07-12 | 2015-11-16 | Rep | Asset management | 2013-07-12 | 2015-11-16 | Rep | Dealing in securities | 2013-07-12 | 2015-11-16 |
| 4 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Advising on securities | 2013-07-12 | 2015-11-16 | Rep | Asset management | 2013-07-12 | 2015-11-16 | Rep | Dealing in securities | 2013-07-12 | 2015-11-16 |
| 5 | MIS SERVICES LIMITED (d2019-06-01) | Rep | Asset management | 2007-10-22 | 2008-06-30 |
| 6 | St. James's Place (Hong Kong) Limited | Rep | Advising on securities | 2007-05-09 | 2007-09-12 |
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