Chan, Karen Ka Ning 陳嘉寧
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 |
| 2 | Legg Mason International Equities (Hong Kong) Limited | Rep | Advising on futures contracts | 2004-07-05 | 2006-05-26 |
| 3 | Legg Mason Asset Management Hong Kong Limited | Rep | Advising on securities | 2004-07-05 | 2011-07-06 |
| 4 | Legg Mason Asset Management Hong Kong Limited | Rep | Asset management | 2004-07-05 | 2011-07-06 |
| 5 | Legg Mason International Equities (Hong Kong) Limited | Rep | Advising on securities | 2004-07-05 | 2011-07-06 |
| 6 | Legg Mason International Equities (Hong Kong) Limited | Rep | Asset management | 2004-07-05 | 2011-07-06 |
| 7 | Legg Mason International Equities (Hong Kong) Limited | Rep | Dealing in securities | 2004-07-05 | 2011-07-06 |
| 8 | Legg Mason Asset Management Hong Kong Limited | Rep | Dealing in securities | 2005-12-01 | 2011-07-06 |
| 9 | UBS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2011-08-01 | 2013-01-25 |
| 10 | UBS Asset Management (Hong Kong) Limited | Rep | Asset management | 2011-08-01 | 2013-01-25 |
| 11 | NAN FUNG INVESTMENT ADVISER LIMITED | Rep | Asset management | 2013-06-11 | 2014-12-05 |
| 12 | NF Trinity Capital (Hong Kong) Limited | Rep | Asset management | 2014-12-15 | 2017-08-07 |
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