SFC Licences of CHEN Wenhan 陳文翰

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

Institution Role Licences Start date End date
Principal Global Investors (Hong Kong) Limited 信安環球投資(香港)有限公司
RE 4, 9 18 March 2022
Taiping Assets Management (HK) Company Limited 太平資產管理(香港)有限公司
RE 9 01 November 2019 28 February 2022
Taiping Assets Management (HK) Company Limited 太平資產管理(香港)有限公司
RE 4 28 October 2019 28 February 2022
CLSA Limited 中信里昂證券有限公司
RE 1, 4 06 May 2019 17 July 2019
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RE 4, 6 06 May 2019 17 July 2019
Moody's Investors Service Hong Kong Limited
RE 10 05 June 2018 28 December 2018
Merrill Lynch (Asia Pacific) Limited
RE 1, 4 16 October 2013 16 April 2018
Jefferies Hong Kong Limited 富瑞金融集團香港有限公司
RE 4 24 June 2013 16 September 2013
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司
RE 4 08 October 2010 30 January 2013
CLSA Research Limited 里昂證券投資研究有限公司
RE 4 10 July 2007 10 September 2010