Siu Chi Chan
陳少芝
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Chi Chan (陳少芝), a licensed former licensee with CE reference ADF951. Total licence records on file: 32.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2019-03-11 | 2021-03-14 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2019-03-11 | 2021-03-14 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-01-17 | 2019-03-11 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-01-17 | 2019-03-11 |
| Eastspring Investments (Hong Kong) Limited 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務) |
RO | Type 1 — Dealing in securities | 2017-04-20 | 2017-06-09 |
| Eastspring Investments (Hong Kong) Limited 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務) |
RO | Type 4 — Advising on securities | 2017-04-20 | 2017-06-09 |
| Eastspring Investments (Hong Kong) Limited 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務) |
Rep | Type 1 — Dealing in securities | 2016-12-05 | 2017-04-20 |
| Eastspring Investments (Hong Kong) Limited 瀚亞投資(香港)有限公司(以(瀚亞投資)名義經營業務) |
Rep | Type 4 — Advising on securities | 2016-12-05 | 2017-04-20 |
| Henderson Global Investors (Hong Kong) Limited 亨德森全球投資(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2013-08-06 | 2016-09-15 |
| Henderson Global Investors (Hong Kong) Limited 亨德森全球投資(香港)有限公司 |
RO | Type 4 — Advising on securities | 2013-08-06 | 2016-09-15 |
| Henderson Global Investors (Hong Kong) Limited 亨德森全球投資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-10-09 | 2013-08-06 |
| Henderson Global Investors (Hong Kong) Limited 亨德森全球投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2012-10-09 | 2013-08-06 |
| UBP Asset Management Asia Limited 瑞士聯合資產管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-04 | 2012-09-30 |
| UBP Asset Management Asia Limited 瑞士聯合資產管理亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-03-04 | 2012-09-30 |
| UBP Asset Management Asia Limited 瑞士聯合資產管理亞洲有限公司 |
Rep | Type 9 — Asset management | 2011-03-04 | 2012-09-30 |
| BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-06-02 | 2011-02-16 |
| BNP PARIBAS ASSET MANAGEMENT ASIA LIMITED 法國巴黎資產管理亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2008-06-02 | 2011-02-16 |
| Fortis Investment Management Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2007-05-16 | 2008-08-18 |
| Fortis Investment Management Hong Kong Limited | Rep | Type 4 — Advising on securities | 2007-05-16 | 2008-08-18 |
| Invesco Asset Management Asia Limited 景順投資管理亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2004-10-05 | 2006-09-02 |
| Invesco Hong Kong Limited 景順投資管理有限公司(以景順投資管理名義經營業務) |
RO | Type 1 — Dealing in securities | 2004-10-05 | 2006-09-02 |
| Invesco Hong Kong Limited 景順投資管理有限公司(以景順投資管理名義經營業務) |
RO | Type 4 — Advising on securities | 2004-10-05 | 2006-09-02 |
| Invesco Asset Management Asia Limited 景順投資管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-05-24 | 2004-10-05 |
| Invesco Hong Kong Limited 景順投資管理有限公司(以景順投資管理名義經營業務) |
Rep | Type 1 — Dealing in securities | 2004-05-24 | 2004-10-05 |
| Invesco Hong Kong Limited 景順投資管理有限公司(以景順投資管理名義經營業務) |
Rep | Type 4 — Advising on securities | 2004-05-24 | 2004-10-05 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 1 — Dealing in securities | present | 2004-05-21 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-05-21 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 4 — Advising on securities | present | 2004-05-21 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-05-21 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 6 — Advising on corporate finance | present | 2004-05-21 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 — Asset management | present | 2004-05-21 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 9 — Asset management | present | 2004-05-21 |