SFC Licences of CHEN Yuan 陳縓
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| UBS Securities Asia Limited | RE | 2 | 08 February 2022 | |
| UBS Securities Asia Limited | RE | 1 | 08 February 2022 | |
| Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 | RE | 2 | 11 October 2016 | 23 October 2021 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 11 September 2015 | 23 October 2021 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 11 September 2015 | 10 October 2016 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 2 | 09 October 2008 | 07 August 2015 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 09 October 2008 | 07 August 2015 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 1 | 19 May 2008 | 29 September 2008 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 | RE | 2 | 19 May 2008 | 29 September 2008 |