Louis Shing Ming Chan
陳成名
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Louis Shing Ming Chan (陳成名), a licensed Responsible Officer with CE reference AEF393. Currently licensed at 1 firm(s): Quam Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 22.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Quam Securities Limited 華富建業證券有限公司 |
RO | Type 1 — Dealing in securities | 2020-07-21 | present |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2020-05-15 | present |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-05-15 | 2020-07-21 |
| Mason Securities Limited 茂宸證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-11-23 | 2020-04-20 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-09-06 | 2018-11-23 |
| Mason Global Capital Limited 茂宸環球資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-09-06 | 2020-04-20 |
| Fortune Financial Capital Limited 富強金融資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-06-13 | 2018-08-10 |
| Fortune (HK) Securities Limited 富強證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-06-13 | 2018-08-10 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
RO | Type 1 — Dealing in securities | 2015-08-19 | 2018-03-14 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2015-07-10 | 2015-08-19 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
RO | Type 1 — Dealing in securities | 2014-06-05 | 2015-05-31 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
Rep | Type 1 — Dealing in securities | 2014-03-07 | 2014-06-05 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
RO | Type 1 — Dealing in securities | 2013-04-11 | 2014-02-28 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-11 | 2013-04-11 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-11-09 | 2011-06-27 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2008-09-19 | 2009-09-21 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
Rep | Type 4 — Advising on securities | 2008-09-19 | 2009-09-21 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2007-07-23 | 2008-05-02 |
| Mega Capital (Asia) Company Limited 兆豐資本(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-11-01 | 2008-05-02 |
| Beevest Securities Limited 蜂投證券有限公司 |
Rep | Type 4 — Advising on securities | 2006-11-01 | 2007-06-13 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-11-05 | 2006-10-05 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2004-11-05 | 2006-10-05 |