SFC Licences of CHAN Sok Yin, Sophia 陳淑妍

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Redford Securities Limited 泓福證券有限公司 RO 1 18 October 2011 29 December 2011
CSC Futures (HK) Limited 群益期貨(香港)有限公司 RE 2 30 September 2008 28 October 2009
CSC Financial Services Limited 群益金融服務有限公司 RO 1 21 August 2008 28 October 2009
CSC Securities (HK) Limited 群益證券(香港)有限公司 RO 1 21 August 2008 28 October 2009
CSC Securities (HK) Limited 群益證券(香港)有限公司 RE 1 25 July 2008 21 August 2008
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 RO 1 13 March 2007 16 July 2008
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 RE 1 24 November 2006 13 March 2007
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 RE 9 04 July 2006 01 November 2006
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 RE 4 04 July 2006 01 November 2006
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE 2 16 December 2003 11 March 2006
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 16 December 2003 11 March 2006
First Shanghai Futures Limited 第一上海期貨有限公司 RE 2 18 November 2003 19 November 2003
First Shanghai Securities Limited 第一上海證券有限公司 RE 1 18 November 2003 19 November 2003