Chan, Winnie (SFC:AFD453) 陳韻妮
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 | FCS Capital Limited | RO | Advising on securities | 2022-09-20 | 2023-12-31 | RO | Asset management | 2022-09-20 | 2023-12-31 |
| 2 | Legg Mason Asset Management Hong Kong Limited | Rep | Asset management | 2005-04-19 | 2012-10-12 | Rep | Advising on securities | 2005-04-19 | 2013-03-28 | Rep | Dealing in securities | 2005-12-01 | 2013-03-28 | RO | Asset management | 2012-10-12 | 2014-04-30 |
| 3 | Legg Mason International Equities (Hong Kong) Limited | Rep | Advising on securities | 2005-04-19 | 2012-10-12 | Rep | Asset management | 2005-04-19 | 2012-10-12 | Rep | Dealing in securities | 2005-04-19 | 2013-03-28 | RO | Advising on securities | 2012-10-12 | 2014-04-30 | RO | Asset management | 2012-10-12 | 2014-04-30 | RO | Dealing in securities | 2013-10-22 | 2014-04-30 |
| 4 | Mackenzie Investments Asia Limited | Rep | Advising on securities | 2015-04-22 | 2015-06-18 | Rep | Asset management | 2015-04-22 | 2015-06-18 | RO | Advising on securities | 2015-06-18 | 2017-04-18 | RO | Asset management | 2015-06-18 | 2017-04-18 |
| 5 | TNS CAPITAL MANAGEMENT LIMITED | RO | Asset management | 2017-07-07 | 2022-09-08 | RO | Advising on securities | 2020-11-17 | 2022-09-08 |
| 6 | UBS SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2003-06-25 | Rep | Advising on securities | 2003-06-25 | Rep | Asset management | 2003-06-25 | Rep | Dealing in securities | 2003-06-25 |
| 7 | Victoire Asia Investments Limited | Rep | Asset management | 2014-07-10 | 2014-08-21 | RO | Asset management | 2014-08-21 | 2015-02-18 |
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