SFC Licences of CHEN Yat Sun 陳一新

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

Institution Role Licences Start date End date
HS Securities Limited 和升證券有限公司 RO 9 28 June 2019 31 October 2020
HS Securities Limited 和升證券有限公司 RO 4 28 June 2019 31 October 2020
HS Securities Limited 和升證券有限公司 RO 1 14 May 2018 31 October 2020
The Core Securities Company Limited 核聚證券有限公司 RO 9 02 June 2015 26 April 2017
The Core Securities Company Limited 核聚證券有限公司 RO 4 22 September 2014 26 April 2017
The Core Securities Company Limited 核聚證券有限公司 RO 1 22 September 2014 26 April 2017
Open Securities Limited 開盤證券有限公司 RO 4 19 June 2013 09 March 2014
Open Securities Limited 開盤證券有限公司 RO 1 19 June 2013 09 March 2014
Open Asset Management Limited 開盤資産管理有限公司 RO 4 19 June 2013 09 March 2014
Open Securities Limited 開盤證券有限公司 RO 2 26 February 2013 09 March 2014
Open Asset Management Limited 開盤資産管理有限公司 RO 9 26 February 2013 09 March 2014
Open Securities Limited 開盤證券有限公司 RE 4 15 January 2013 19 June 2013
Open Securities Limited 開盤證券有限公司 RE 1 15 January 2013 19 June 2013
Open Securities Limited 開盤證券有限公司 RE 2 15 January 2013 26 February 2013
Open Asset Management Limited 開盤資産管理有限公司 RE 9 15 January 2013 26 February 2013
Phillip Capital Management (HK) Limited 輝立資本管理(香港)有限公司 RO 9 06 January 2009 01 January 2013
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 RE 4 28 May 2007 01 January 2013
Phillip Capital Management (HK) Limited 輝立資本管理(香港)有限公司 RE 9 28 May 2007 06 January 2009
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 RE 5 14 May 2007 01 January 2013
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 RE 2 14 May 2007 01 January 2013
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 RE 1 14 May 2007 01 January 2013
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 RO 5 31 May 2004 31 March 2007
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 RO 2 31 May 2004 31 March 2007
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 RO 1 31 May 2004 31 March 2007
Polaris Capital (Asia) Limited 寶來資本(亞洲)有限公司 RE 1 06 November 2003 26 January 2005
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 RE 5 05 September 2003 31 May 2004
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 RE 2 05 September 2003 31 May 2004
Yuanta Asia Investment (Hong Kong) Limited 元大亞洲投資(香港)有限公司 RE 1 05 September 2003 31 May 2004
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 1 01 April 2003 18 June 2003
Morgan Stanley Hong Kong Futures Limited RE 2 01 April 2003 18 June 2003
Morgan Stanley Hong Kong Securities Limited RE 1 01 April 2003 18 June 2003
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 7 01 April 2003 18 June 2003
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 6 01 April 2003 18 June 2003
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 4 01 April 2003 18 June 2003
Morgan Stanley Hong Kong Futures Limited RE 7 01 April 2003 18 June 2003