Nicholas Wing Kwong Chan
陳永江
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nicholas Wing Kwong Chan (陳永江), a licensed Responsible Officer with CE reference ACC181. Currently licensed at 1 firm(s): Rockpool Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 21.
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 |
|---|---|---|---|---|
| Rockpool Capital Limited 摩石資本有限公司 |
RO | Type 1 — Dealing in securities | 2024-06-05 | present |
| Rockpool Capital Limited 摩石資本有限公司 |
RO | Type 4 — Advising on securities | 2024-06-05 | present |
| Rockpool Capital Limited 摩石資本有限公司 |
RO | Type 9 — Asset management | 2024-06-05 | present |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 1 — Dealing in securities | 2023-09-22 | 2024-06-05 |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 4 — Advising on securities | 2023-09-22 | 2024-06-05 |
| Rockpool Capital Limited 摩石資本有限公司 |
Rep | Type 9 — Asset management | 2023-09-22 | 2024-06-05 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | 2022-01-24 | 2022-11-24 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2022-01-24 | 2022-11-24 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | 2022-01-24 | 2022-11-24 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2022-01-24 | 2022-11-24 |
| StormHarbour Securities (Hong Kong) Limited 思博資本(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-03-09 | 2021-10-17 |
| StormHarbour Securities (Hong Kong) Limited 思博資本(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2020-03-09 | 2021-10-17 |
| StormHarbour Securities (Hong Kong) Limited 思博資本(香港)有限公司 |
Rep | Type 9 — Asset management | 2020-03-09 | 2021-10-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 9 — Asset management | 2011-07-27 | 2013-08-01 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2013-08-01 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2010-07-09 | 2010-12-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-05-24 | 2013-08-01 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2006-01-25 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2004-10-14 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-10-14 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-10-14 |