Spencer Kwok Wai Chan
陳國偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Spencer Kwok Wai Chan (陳國偉), a licensed former licensee with CE reference AEF253. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-23 | 2019-11-23 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2013-11-15 | 2017-04-05 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-04-03 | 2013-08-07 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | present | 2006-03-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2006-03-03 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 7 — Providing automated trading services | present | 2003-12-02 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-12-02 |