Chi Ming Fan
范智明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Ming Fan (范智明), a licensed Representative with CE reference ADS059. Currently licensed at 2 firm(s): Karl-Thomson Securities Company Limited, Karl-Thomson Commodities Company Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 1 — Dealing in securities | 2009-02-02 | present |
| Karl-Thomson Commodities Company Limited 高信商品期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-02-02 | present |
| Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-02-21 | 2009-01-23 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | 2003-08-30 | 2009-01-23 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-08-19 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-08-19 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-19 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-08-19 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-19 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-19 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-19 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-19 |