Doris Sau Ying Chan
陳秀瑛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Doris Sau Ying Chan (陳秀瑛), a licensed Representative with CE reference AAE759. Currently licensed at 2 firm(s): UOB Kay Hian (Hong Kong) Limited, UOB Kay Hian Futures (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities. Total licence records on file: 12.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-09-16 | present |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-09-16 | present |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-09-16 | present |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-11-22 | 2021-09-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2004-11-22 | 2021-09-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | present | 2021-09-01 |
| RBC Futures Services (Asia) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2005-09-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | present | 2021-09-01 |
| RBC Futures Services (Asia) Limited | Rep | Type 5 — Advising on futures contracts | present | 2005-09-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-17 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-17 |
| RBC Futures Services (Asia) Limited | Rep | Type 9 — Asset management | present | 2003-06-18 |