Chan, Kar Wah (SFC:ADS842) 陳家驊
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 | Afflux Securities Limited | Rep | Dealing in securities | 2018-03-01 | 2018-09-30 | RO | Dealing in futures contracts | 2018-05-17 | 2018-09-30 |
| 2 | AP Capital Management (Hong Kong) Limited | RO | Advising on futures contracts | 2018-11-23 | 2019-12-26 | RO | Advising on securities | 2018-11-23 | 2019-12-26 | RO | Asset management | 2018-11-23 | 2019-12-26 | RO | Dealing in futures contracts | 2018-11-23 | 2019-12-26 | RO | Dealing in securities | 2018-11-23 | 2019-12-26 |
| 3 | CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2006-02-03 | 2006-09-02 |
| 4 | CMC Markets Asia Limited | Rep | Leveraged foreign exchange trading | 2006-09-22 | 2007-07-07 |
| 5 | DELTA ASIA FINANCIAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2011-02-15 | 2015-07-28 | RO | Dealing in futures contracts | 2015-07-28 | 2017-09-04 |
| 6 | DELTA ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2011-09-22 | 2017-09-04 | RO | Leveraged foreign exchange trading | 2011-12-23 | 2017-09-04 |
| 7 | Delta Asia Wealth Management Limited | Rep | Asset management | 2013-10-11 | 2017-09-04 |
| 8 | GCINT COMPREHENSIVE HEALTHCARE INVESTMENTS LIMITED | Rep | Advising on securities | 2020-01-09 | 2020-02-04 | Rep | Dealing in securities | 2020-01-09 | 2020-02-04 | RO | Advising on securities | 2020-02-04 | 2020-05-19 | RO | Dealing in securities | 2020-02-04 | 2020-05-19 |
| 9 | LERTHAI Asset Management Limited | RO | Advising on securities | 2020-06-18 | 2020-09-18 | RO | Asset management | 2020-06-18 | 2020-09-18 |
| 10 | LERTHAI Securities (Hong Kong) Limited | RO | Dealing in futures contracts | 2020-06-18 | 2020-09-18 | RO | Dealing in securities | 2020-06-18 | 2020-09-18 |
| 11 | MF Global Hong Kong Limited | Rep | Leveraged foreign exchange trading | 2009-01-19 | 2009-09-17 | Rep | Dealing in futures contracts | 2009-08-18 | 2009-09-17 |
| 12 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2010-08-23 | 2011-01-01 | Rep | Leveraged foreign exchange trading | 2010-08-23 | 2011-01-01 |
| 13 | PROSPER GLOBAL ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2020-11-11 | 2022-10-10 | RO | Asset management | 2020-11-11 | 2022-10-10 |
| 14 | SHUN LOONG FOREX COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2006-09-02 | |
| 15 | Victory Asset Management Limited | RO | Advising on securities | 2023-01-18 | RO | Asset management | 2023-01-18 |
| 16 | Victory Securities (Global) Limited | RO | Dealing in futures contracts | 2022-11-02 | RO | Dealing in securities | 2023-01-17 |
| 17 | Yuanta Asia Investment (Hong Kong) Limited | Rep | Leveraged foreign exchange trading | 2008-11-05 | 2009-01-12 | Rep | Dealing in futures contracts | 2009-11-26 | 2010-04-21 | Rep | Leveraged foreign exchange trading | 2009-11-26 | 2010-04-21 |
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