Cecilia Po Chi Chan
陳寶枝
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Cecilia Po Chi Chan (陳寶枝), a licensed former licensee with CE reference ACD290. Total licence records on file: 36.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Sprout Asset Management (Asia) Limited | RO | Type 1 — Dealing in securities | 2024-09-19 | 2025-02-07 |
| Sprout Asset Management (Asia) Limited | RO | Type 4 — Advising on securities | 2024-09-19 | 2025-02-07 |
| Sprout Asset Management (Asia) Limited | RO | Type 9 — Asset management | 2024-09-19 | 2025-02-07 |
| Sprout Asset Management (Asia) Limited | Rep | Type 1 — Dealing in securities | 2024-03-15 | 2024-09-19 |
| Sprout Asset Management (Asia) Limited | Rep | Type 4 — Advising on securities | 2024-03-15 | 2024-09-19 |
| Sprout Asset Management (Asia) Limited | Rep | Type 9 — Asset management | 2024-03-15 | 2024-09-19 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2021-07-29 | 2023-11-30 |
| HSBC Global Asset Management Holdings (Bahamas) Limited | RO | Type 9 — Asset management | 2021-03-03 | 2023-11-30 |
| SINOPIA Asset Management (Asia Pacific) Limited 信滙資產管理(亞太)有限公司 |
RO | Type 1 — Dealing in securities | 2011-07-07 | 2011-08-31 |
| SINOPIA Asset Management (Asia Pacific) Limited 信滙資產管理(亞太)有限公司 |
RO | Type 4 — Advising on securities | 2011-07-07 | 2011-08-31 |
| SINOPIA Asset Management (Asia Pacific) Limited 信滙資產管理(亞太)有限公司 |
RO | Type 5 — Advising on futures contracts | 2011-07-07 | 2011-08-31 |
| SINOPIA Asset Management (Asia Pacific) Limited 信滙資產管理(亞太)有限公司 |
RO | Type 9 — Asset management | 2011-07-07 | 2011-08-31 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2010-09-20 | 2023-11-30 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2010-06-28 | 2023-11-30 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2010-06-28 | 2023-11-30 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 2 — Dealing in futures contracts | 2008-04-01 | 2011-12-31 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2007-10-11 | 2011-12-31 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2006-03-10 | 2023-11-30 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2006-03-10 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2006-03-10 | 2023-11-30 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2006-03-10 | 2023-11-30 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2006-03-10 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2006-03-10 | 2023-11-30 |
| HSBC Investment Funds (Hong Kong) Limited | RO | Type 9 — Asset management | 2006-03-10 | 2023-11-30 |
| Halbis Capital Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2006-03-10 | 2011-12-31 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2005-07-15 | 2006-03-10 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-07-15 | 2006-03-10 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2005-07-15 | 2006-03-10 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2004-04-06 | 2006-03-10 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2004-08-30 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2004-02-16 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2006-03-10 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-02-16 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2004-02-16 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2004-02-16 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2006-03-10 |