Kwan, Chung Yan 關頌恩
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 | BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED | Rep | Dealing in futures contracts | 2010-09-08 | 2016-09-03 |
| 2 | BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED | Rep | Dealing in securities | 2010-09-08 | 2016-09-03 |
| 3 | CCB INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | Asset management | 2005-11-30 | 2006-09-29 |
| 4 | CHAOSHANG ASSET MANAGEMENT LIMITED | Rep | Asset management | 2017-08-09 | 2020-02-07 | RO | Asset management | 2020-02-07 | RO | Advising on securities | 2021-02-10 |
| 5 | ChaoShang Securities Limited | Rep | Dealing in securities | 2016-09-07 | 2016-10-20 | RO | Dealing in securities | 2016-10-20 | RO | Dealing in futures contracts | 2017-04-06 |
| 6 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2004-05-25 | 2005-03-30 |
| 7 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2004-05-25 | 2005-03-30 |
| 8 | CMB International Capital Holdings Corporation Limited | Rep | Dealing in securities | 2006-10-27 | 2008-05-16 |
| 9 | KGI ASIA LIMITED | Rep | Dealing in securities | 2009-06-17 | 2010-08-13 |
| 10 | KGI FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2009-06-17 | 2010-08-13 |
| 11 | MIB FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2008-06-12 | 2009-06-13 |
| 12 | MIB SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2008-05-28 | 2009-06-13 |
| 13 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Automated trading services | 2003-08-15 | Rep | Asset management | 2003-12-09 | Rep | Advising on futures contracts | 2004-05-03 | Rep | Dealing in futures contracts | 2004-05-14 |
| 14 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-05-03 | Rep | Advising on securities | 2004-05-03 | Rep | Asset management | 2004-05-03 | Rep | Dealing in securities | 2004-05-14 |
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