SFC Licences of CHEN Chen 陳晨
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Moody's Investors Service Hong Kong Limited | RE | 10 | 23 November 2020 | |
| Optimas Capital Limited 中庸資本有限公司 | RO | 4 | 04 August 2017 | 31 August 2020 |
| Optimas Capital Limited 中庸資本有限公司 | RO | 1 | 04 August 2017 | 31 August 2020 |
| Optimas Capital Limited 中庸資本有限公司 | RO | 9 | 14 July 2016 | 31 August 2020 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 | RE | 4 | 23 July 2013 | 01 July 2016 |
| Merrill Lynch (Asia Pacific) Limited | RE | 4 | 18 June 2012 | 12 April 2013 |
| Merrill Lynch (Asia Pacific) Limited | RE | 1 | 18 June 2012 | 12 April 2013 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 4 | 19 March 2012 | 17 May 2012 |
| Samsung Securities (Asia) Limited 三星證券(亞洲)有限公司 | RE | 4 | 30 September 2010 | 03 February 2012 |