SFC Licences of CHAN Winnie 陳韻妮

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

Institution Role Licences Start date End date
FCS Capital Limited 締壹基石資本有限公司 RO 9 20 September 2022 31 December 2023
FCS Capital Limited 締壹基石資本有限公司 RO 4 20 September 2022 31 December 2023
TNS Capital Management Limited RO 4 17 November 2020 08 September 2022
TNS Capital Management Limited RO 9 07 July 2017 08 September 2022
Mackenzie Investments Asia Limited RO 9 18 June 2015 18 April 2017
Mackenzie Investments Asia Limited RO 4 18 June 2015 18 April 2017
Mackenzie Investments Asia Limited RE 9 22 April 2015 18 June 2015
Mackenzie Investments Asia Limited RE 4 22 April 2015 18 June 2015
Victoire Asia Investments Limited 維勝亞洲投資有限公司 RO 9 21 August 2014 18 February 2015
Victoire Asia Investments Limited 維勝亞洲投資有限公司 RE 9 10 July 2014 21 August 2014
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 1 22 October 2013 30 April 2014
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RO 9 12 October 2012 30 April 2014
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 9 12 October 2012 30 April 2014
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RO 4 12 October 2012 30 April 2014
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 1 01 December 2005 28 March 2013
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 4 19 April 2005 28 March 2013
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 1 19 April 2005 28 March 2013
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 9 19 April 2005 12 October 2012
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 9 19 April 2005 12 October 2012
Legg Mason International Equities (Hong Kong) Limited (trading as Esemplia; Esemplia Emerging Markets) 美盛國際股票(香港)有限公司 (以匯琛; 匯琛新興巿場資產管理名義經營業務) RE 4 19 April 2005 12 October 2012
UBS Securities Asia Limited RE 9 01 April 2003 25 June 2003
UBS Securities Asia Limited RE 6 01 April 2003 25 June 2003
UBS Securities Asia Limited RE 1 01 April 2003 25 June 2003
UBS Securities Asia Limited RE 4 01 April 2003 25 June 2003