Chan, Karen Ka Ning 陳嘉寧

show old organisation names

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 Legg Mason Asset Management Hong Kong Limited Rep Advising on futures contracts 2004-07-05 2006-05-26
Rep Advising on securities 2004-07-05 2011-07-06
Rep Asset management 2004-07-05 2011-07-06
Rep Dealing in securities 2005-12-01 2011-07-06
2 Legg Mason International Equities (Hong Kong) Limited Rep Advising on futures contracts 2004-07-05 2006-05-26
Rep Advising on securities 2004-07-05 2011-07-06
Rep Asset management 2004-07-05 2011-07-06
Rep Dealing in securities 2004-07-05 2011-07-06
3 NAN FUNG INVESTMENT ADVISER LIMITED Rep Asset management 2013-06-11 2014-12-05
4 NF Trinity Capital (Hong Kong) Limited Rep Asset management 2014-12-15 2017-08-07
5 UBS Asset Management (Hong Kong) Limited Rep Advising on securities 2011-08-01 2013-01-25
Rep Asset management 2011-08-01 2013-01-25

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