SFC Licences of KWAN Chung Yan 關頌恩

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

Institution Role Licences Start date End date
ChaoShang Asset Management Limited 潮商資產管理有限公司 RO 4 10 February 2021
ChaoShang Asset Management Limited 潮商資產管理有限公司 RO 9 07 February 2020
ChaoShang Securities Limited 潮商證券有限公司 RO 2 06 April 2017
ChaoShang Securities Limited 潮商證券有限公司 RO 1 20 October 2016
ChaoShang Asset Management Limited 潮商資產管理有限公司 RE 9 09 August 2017 07 February 2020
ChaoShang Securities Limited 潮商證券有限公司 RE 1 07 September 2016 20 October 2016
Bright Smart Securities International (H.K.) Limited 耀才證券國際(香港)有限公司 RE 1 08 September 2010 03 September 2016
Bright Smart Futures & Commodities Company Limited 耀才期貨及商品有限公司 RE 2 08 September 2010 03 September 2016
KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 RE 2 17 June 2009 13 August 2010
KGI Asia Limited 凱基證券亞洲有限公司 RE 1 17 June 2009 13 August 2010
MIB Futures (Hong Kong) Limited 馬銀期貨(香港)有限公司 RE 2 12 June 2008 13 June 2009
MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 RE 1 28 May 2008 13 June 2009
CMB International Capital Holdings Corporation Limited RE 1 27 October 2006 16 May 2008
CCB International Asset Management Limited 建銀國際資產管理有限公司 RE 9 30 November 2005 29 September 2006
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE 2 25 May 2004 30 March 2005
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 25 May 2004 30 March 2005
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 RE 1 01 April 2003 14 May 2004
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 RE 2 01 April 2003 14 May 2004
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 RE 4 01 April 2003 03 May 2004
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 RE 5 01 April 2003 03 May 2004
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 RE 6 01 April 2003 03 May 2004
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 RE 9 01 April 2003 03 May 2004
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 RE 9 01 April 2003 09 December 2003
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 RE 7 01 April 2003 15 August 2003