Chen, Yat Sun 陳一新
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 | Core Securities Company Limited (The) | RO | Advising on securities | 2014-09-22 | 2017-04-26 | RO | Dealing in securities | 2014-09-22 | 2017-04-26 | RO | Asset management | 2015-06-02 | 2017-04-26 |
| 2 | HS Securities Limited | RO | Dealing in securities | 2018-05-14 | 2020-10-31 | RO | Advising on securities | 2019-06-28 | 2020-10-31 | RO | Asset management | 2019-06-28 | 2020-10-31 |
| 3 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2003-06-18 | Rep | Advising on securities | 2003-06-18 | Rep | Automated trading services | 2003-06-18 | Rep | Dealing in securities | 2003-06-18 |
| 4 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2003-06-18 | Rep | Dealing in futures contracts | 2003-06-18 |
| 5 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2003-06-18 | |
| 6 | Open Asset Management Limited | Rep | Asset management | 2013-01-15 | 2013-02-26 | RO | Asset management | 2013-02-26 | 2014-03-09 | RO | Advising on securities | 2013-06-19 | 2014-03-09 |
| 7 | Open Securities Limited | Rep | Dealing in futures contracts | 2013-01-15 | 2013-02-26 | Rep | Advising on securities | 2013-01-15 | 2013-06-19 | Rep | Dealing in securities | 2013-01-15 | 2013-06-19 | RO | Dealing in futures contracts | 2013-02-26 | 2014-03-09 | RO | Advising on securities | 2013-06-19 | 2014-03-09 | RO | Dealing in securities | 2013-06-19 | 2014-03-09 |
| 8 | PHILLIP CAPITAL MANAGEMENT (HK) LIMITED | Rep | Asset management | 2007-05-28 | 2009-01-06 | RO | Asset management | 2009-01-06 | 2013-01-01 |
| 9 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Advising on futures contracts | 2007-05-14 | 2013-01-01 | Rep | Dealing in futures contracts | 2007-05-14 | 2013-01-01 |
| 10 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2007-05-14 | 2013-01-01 | Rep | Advising on securities | 2007-05-28 | 2013-01-01 |
| 11 | Polaris Capital (Asia) Limited | Rep | Dealing in securities | 2003-11-06 | 2005-01-26 |
| 12 | Yuanta Asia Investment (Hong Kong) Limited | Rep | Advising on futures contracts | 2003-09-05 | 2004-05-31 | Rep | Dealing in futures contracts | 2003-09-05 | 2004-05-31 | Rep | Dealing in securities | 2003-09-05 | 2004-05-31 | RO | Advising on futures contracts | 2004-05-31 | 2007-03-31 | RO | Dealing in futures contracts | 2004-05-31 | 2007-03-31 | RO | Dealing in securities | 2004-05-31 | 2007-03-31 |
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