SFC licenceholder AGK773 CHAN Ka Yee 陳家怡

Licences

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

Updated: 28 February 2020

Institution Role Licences Start date End date
CEB International Capital Corporation Limited 光銀國際資本有限公司 RO [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) 22 December 2015
GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 RO [6] (Advising on Corporate Finance) 09 May 2014 30 June 2015
GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 RO [1] (Dealing in Securities) 09 May 2014 30 June 2015
GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 RE [6] (Advising on Corporate Finance) 31 March 2014 09 May 2014
GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 RE [1] (Dealing in Securities) 31 March 2014 09 May 2014
ICBC International Capital Limited 工銀國際融資有限公司 RO [1] (Dealing in Securities), [6] (Advising on Corporate Finance) 21 March 2012 18 October 2013
ICBC International Securities Limited 工銀國際證券有限公司 RO [1] (Dealing in Securities) 21 March 2012 18 October 2013
ICBC International Capital Limited 工銀國際融資有限公司 RE [1] (Dealing in Securities), [6] (Advising on Corporate Finance) 03 January 2012 21 March 2012
Shang International Finance Limited 尚融國際金融有限公司 RO [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) 09 October 2007 19 December 2011
Shang International Finance Limited 尚融國際金融有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance) 01 April 2003 09 October 2007
Shang International Finance Limited 尚融國際金融有限公司 RE [9] (Asset Management) 01 April 2003 17 September 2004