Yi Sum Chan
陳鐿心
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yi Sum Chan (陳鐿心), a licensed Responsible Officer with CE reference AAD405. Currently licensed at 2 firm(s): Central Wealth Asset Management Limited, Central Wealth Securities Investment Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 23.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Central Wealth Asset Management Limited 中達資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-03-12 | present |
| Central Wealth Securities Investment Limited 中達證券投資有限公司 |
RO | Type 4 — Advising on securities | 2019-12-10 | present |
| Central Wealth Securities Investment Limited 中達證券投資有限公司 |
RO | Type 1 — Dealing in securities | 2017-10-03 | present |
| Central Wealth Futures Limited 中達期貨有限公司 |
RO | Type 5 — Advising on futures contracts | 2019-12-10 | 2023-04-03 |
| Central Wealth Futures Limited 中達期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-10-03 | 2023-04-03 |
| Central Wealth Securities Investment Limited 中達證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-14 | 2017-10-03 |
| Central Wealth Futures Limited 中達期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-08-14 | 2017-10-03 |
| CMBC Securities Company Limited 民銀證券有限公司 |
RO | Type 1 — Dealing in securities | 2012-09-25 | 2017-06-09 |
| CMBC International Futures Company Limited 民銀國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2012-09-25 | 2017-06-09 |
| Oriental Wealth Securities Limited 東方滙富證券有限公司 |
RO | Type 1 — Dealing in securities | 2010-01-20 | 2012-07-31 |
| Oriental Wealth Futures Limited 東方滙富期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2009-06-18 | 2012-07-31 |
| Oriental Wealth Securities Limited 東方滙富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-21 | 2010-01-20 |
| One China Securities Limited 一中證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-08-16 | 2009-04-09 |
| One China Securities Limited 一中證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-08-16 | 2009-04-09 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-05-20 | 2007-07-27 |
| XinKong International Securities Limited 信控國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-05-19 | 2007-07-27 |
| Mango Financial Limited 芒果金融有限公司 |
Rep | Type 1 — Dealing in securities | 2003-07-30 | 2005-05-04 |
| Mango Financial Limited 芒果金融有限公司 |
Rep | Type 4 — Advising on securities | 2003-07-30 | 2005-05-04 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-26 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-26 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-26 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-05-26 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-26 |