Chen, Alan Bing
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Dealing in futures contracts | 2014-08-05 | 2016-01-21 | Rep | Dealing in securities | 2014-08-05 | 2016-01-21 |
| 2 | CLSA FUTURES LIMITED | Rep | Advising on futures contracts | 2004-05-04 | Rep | Asset management | 2004-05-04 | Rep | Dealing in futures contracts | 2009-09-10 |
| 3 | CLSA LIMITED | Rep | Advising on corporate finance | 2004-05-04 | Rep | Advising on securities | 2004-05-04 | Rep | Asset management | 2004-05-04 | Rep | Dealing in securities | 2009-09-10 |
| 4 | Macquarie Asia Securities Limited | Rep | Dealing in securities | 2020-09-30 | |
| 5 | MACQUARIE CAPITAL LIMITED | Rep | Dealing in securities | 2017-11-09 | 2018-09-05 | RO | Dealing in securities | 2018-09-05 |
| 6 | MIZUHO SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2009-11-04 | 2010-06-14 | Rep | Dealing in futures contracts | 2009-11-04 | 2014-03-10 | RO | Advising on securities | 2010-06-14 | 2014-03-10 | RO | Dealing in securities | 2010-06-14 | 2014-03-10 |
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