SFC Licences of CHAN Ka Ning, Karen 陳嘉寧

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

Institution Role Licences Start date End date
NF Trinity Capital (Hong Kong) Limited RE 9 15 December 2014 07 August 2017
Nan Fung Investment Adviser Limited 南豐投資顧問有限公司 RE 9 11 June 2013 05 December 2014
UBS Asset Management (Hong Kong) Limited RE 9 01 August 2011 25 January 2013
UBS Asset Management (Hong Kong) Limited RE 4 01 August 2011 25 January 2013
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 1 01 December 2005 06 July 2011
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 9 05 July 2004 06 July 2011
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 4 05 July 2004 06 July 2011
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 05 July 2004 06 July 2011
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 05 July 2004 06 July 2011
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 05 July 2004 06 July 2011
Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 RE 5 05 July 2004 26 May 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 5 05 July 2004 26 May 2006