SFC Licences of YAN Chi Kwan 顏志軍

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

Institution Role Licences Start date End date
Quam Asset Management Limited 華富建業資產管理有限公司 RO 1 25 February 2020
Quam Securities Limited 華富建業證券有限公司 RO 1 27 November 2018
Quam Asset Management Limited 華富建業資產管理有限公司 RO 9 31 August 2018
Quam Asset Management Limited 華富建業資產管理有限公司 RO 4 31 August 2018
Quam Securities Limited 華富建業證券有限公司 RE 1 17 August 2018 27 November 2018
Quam Asset Management Limited 華富建業資產管理有限公司 RE 9 04 June 2018 31 August 2018
Quam Asset Management Limited 華富建業資產管理有限公司 RE 4 04 June 2018 31 August 2018
CMBC Asset Management Company Limited 民銀資產管理有限公司 RO 9 21 December 2017 25 April 2018
CMBC International Securities Limited 民銀國際證券有限公司 RO 4 30 November 2016 25 April 2018
CMBC International Securities Limited 民銀國際證券有限公司 RO 1 30 November 2016 25 April 2018
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 RO 1 14 September 2012 22 November 2013
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 RO 9 03 February 2012 22 November 2013
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 RO 4 03 February 2012 22 November 2013
Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 RE 1 17 January 2012 14 September 2012
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 RE 9 30 November 2011 03 February 2012
Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 RE 4 30 November 2011 03 February 2012
Guo Tong Capital Management Company Limited 國通資本管理有限公司 RE 9 01 December 2010 31 October 2011
Guo Tong Capital Management Company Limited 國通資本管理有限公司 RE 4 01 December 2010 31 October 2011
GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 RE 9 29 June 2010 01 July 2010
GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 RE 4 29 June 2010 01 July 2010
GIP Partners Limited RO 9 16 January 2009 10 December 2009
GIP Partners Limited RO 4 16 January 2009 10 December 2009
Bright Fund Management Limited 光明投資管理有限公司 RE 9 23 March 2006 01 May 2007
Bright Fund Management Limited 光明投資管理有限公司 RE 4 21 March 2006 01 May 2007
Bright Fund Management Limited 光明投資管理有限公司 RE 1 21 March 2006 01 May 2007
Superfund Financial (Hong Kong) Limited 瑞柏投資(香港)有限公司 RE 4 18 February 2005 15 February 2006
Superfund Financial (Hong Kong) Limited 瑞柏投資(香港)有限公司 RE 1 18 February 2005 15 February 2006
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 01 April 2003 09 September 2004
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 01 April 2003 09 September 2004
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 4 01 April 2003 09 September 2004
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 01 April 2003 09 August 2004
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 6 01 April 2003 09 August 2004
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 9 01 April 2003 09 August 2004
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 6 01 April 2003 09 August 2004