Shu Har Chen
陳瑞霞
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shu Har Chen (陳瑞霞), a licensed Representative with CE reference AEH999. Currently licensed at 1 firm(s): KGI Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2024-09-24 | present |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-03 | present |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2016-08-29 | 2017-10-02 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2016-07-07 | 2017-10-02 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-15 | 2016-06-10 |
| iBest Consultants Limited | Rep | Type 1 — Dealing in securities | 2014-06-10 | 2016-06-10 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2012-07-14 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-14 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-14 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-14 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-14 |