Chan, Tak Chiu 陳德翹
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 | BOCI SECURITIES LIMITED | Rep | Advising on securities | 2011-02-22 | 2015-09-01 | Rep | Dealing in securities | 2011-02-22 | 2015-09-01 | Rep | Dealing in futures contracts | 2013-08-26 | 2015-09-01 |
| 2 | CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED | Rep | Advising on securities | 2016-10-18 | 2017-06-21 | Rep | Dealing in securities | 2016-10-18 | 2017-06-21 | RO | Advising on securities | 2017-06-21 | 2020-08-07 | RO | Dealing in securities | 2017-06-21 | 2020-08-07 |
| 3 | CHINA INDUSTRIAL SECURITIES INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2020-06-29 | 2020-08-07 |
| 4 | CMBC ASSET MANAGEMENT COMPANY LIMITED | Rep | Asset management | 2020-10-09 | 2021-02-02 | RO | Asset management | 2021-02-02 | 2021-02-05 | Rep | Asset management | 2021-02-05 | 2021-02-05 |
| 5 | CMBC SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2020-08-28 | 2020-11-30 | Rep | Dealing in securities | 2020-08-28 | 2020-11-30 | RO | Advising on securities | 2020-11-30 | 2021-02-05 | RO | Dealing in securities | 2020-11-30 | 2021-02-05 |
| 6 | KEYSTONE CAPITAL LIMITED (HK) | RO | Advising on securities | 2016-06-17 | 2016-10-14 | RO | Asset management | 2016-06-17 | 2016-10-14 | Rep | Advising on securities | 2021-04-08 | 2021-05-21 | Rep | Dealing in securities | 2021-04-08 | 2021-05-21 | Rep | Asset management | 2021-04-08 | 2023-03-21 | RO | Advising on securities | 2021-05-21 | RO | Dealing in securities | 2021-05-21 | RO | Asset management | 2023-03-21 |
| 7 | Sinostar Asset Management Limited | Rep | Asset management | 2015-09-09 | 2016-05-15 |
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