Chan, Chau Yuen 陳秋源
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 | CLSA FUTURES LIMITED | Rep | Advising on futures contracts | 2004-03-18 | Rep | Asset management | 2004-03-18 | Rep | Dealing in futures contracts | 2006-11-10 |
| 2 | CLSA LIMITED | Rep | Advising on corporate finance | 2004-03-18 | Rep | Advising on securities | 2004-03-18 | Rep | Asset management | 2004-03-18 | Rep | Dealing in securities | 2006-11-10 |
| 3 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2006-12-11 | 2007-10-09 |
| 4 | Credit Suisse Futures (Hong Kong) Limited | Rep | Dealing in futures contracts | 2006-12-11 | 2007-10-09 | Rep | Automated trading services | 2007-01-15 | 2007-10-09 |
| 5 | Gate3 Capital Limited | RO | Advising on securities | 2021-11-26 | 2022-08-31 | RO | Asset management | 2021-11-26 | 2022-08-31 |
| 6 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2007-10-16 | 2013-07-24 | Rep | Dealing in securities | 2007-10-16 | 2015-06-26 | Rep | Advising on futures contracts | 2013-07-24 | 2015-06-26 | Rep | Advising on securities | 2013-07-24 | 2015-06-26 |
| 7 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2007-10-16 | 2010-12-06 | Rep | Dealing in futures contracts | 2007-10-16 | 2010-12-06 |
| 8 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2007-10-16 | 2015-06-26 | Rep | Dealing in futures contracts | 2010-12-06 | 2015-06-26 | Rep | Automated trading services | 2013-07-24 | 2015-06-26 |
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