SFC Licences of CHAN Lee Quan

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

Institution	Role	Licences	Start date	End date
Nuvama Investment Advisors (Hongkong) Private Limited	RO	5	29 November 2023
Nuvama Investment Advisors (Hongkong) Private Limited	RO	4	29 November 2023
Nuvama Investment Advisors (Hongkong) Private Limited	RO	2	29 November 2023
Nuvama Investment Advisors (Hongkong) Private Limited	RO	1	29 November 2023
Nuvama Investment Advisors (Hongkong) Private Limited	RE	4	20 November 2023	29 November 2023
RiverCircle Investments Limited 合河投資有限公司	RE	9	19 April 2023	06 November 2023
RiverCircle Investments Limited 合河投資有限公司	RE	4	19 April 2023	06 November 2023
Merrill Lynch Far East Limited	RE	2	04 July 2022	02 March 2023
Merrill Lynch (Asia Pacific) Limited	RE	1	04 July 2022	02 March 2023
Merrill Lynch Far East Limited	RE	1	04 July 2022	02 March 2023
UBS Securities Hong Kong Limited	RE	2	06 November 2017	30 March 2022
UBS Securities Hong Kong Limited	RE	1	06 November 2017	30 March 2022
UBS Securities Asia Limited	RE	2	06 November 2017	30 March 2022
UBS Securities Asia Limited	RE	1	06 November 2017	30 March 2022