Chan, Siu Ming (SFC:AEU968) 陳兆明
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 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2024-04-15 | |
| 2 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2024-04-15 | |
| 3 | Anuenue Securities Limited | Rep | Advising on corporate finance | 2004-08-17 | |
| 4 | Anuenue Securities Limited | Rep | Advising on securities | 2004-08-17 | |
| 5 | Anuenue Securities Limited | Rep | Asset management | 2004-08-17 | |
| 6 | Anuenue Securities Limited | Rep | Dealing in securities | 2007-01-31 | |
| 7 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2007-02-02 | 2017-11-01 |
| 8 | D&R International Capital Management (Hong Kong) Limited | Rep | Dealing in securities | 2017-11-10 | 2018-04-04 |
| 9 | D&R International Capital Management (Hong Kong) Limited | Rep | Asset management | 2018-03-23 | 2019-05-14 |
| 10 | D&R International Capital Management (Hong Kong) Limited | RO | Advising on securities | 2018-04-04 | 2024-03-12 |
| 11 | D&R International Capital Management (Hong Kong) Limited | RO | Dealing in securities | 2018-04-04 | 2024-03-12 |
| 12 | D&R International Capital Management (Hong Kong) Limited | RO | Asset management | 2019-05-14 | 2024-03-12 |
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