Alice Wong Kam Chan
陳旺金
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alice Wong Kam Chan (陳旺金), a licensed Responsible Officer with CE reference AAB559. Currently licensed at 1 firm(s): Prudential Brokerage Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance; Type 9 — Asset management. Total licence records on file: 9.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 1 — Dealing in securities | present | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 4 — Advising on securities | present | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | present |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 9 — Asset management | present | present |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 1 — Dealing in securities | present | 2016-06-30 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 4 — Advising on securities | present | 2016-06-30 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2016-10-27 |
| Prudential Brokerage Limited 信誠證券有限公司 |
RO | Type 7 — Providing automated trading services | present | 2008-04-21 |
| Tian Yuan Finance Limited 天元金融有限公司 |
RO | Type 9 — Asset management | present | 2016-08-15 |