Karen Chan
陳加敏
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karen Chan (陳加敏), a licensed former licensee with CE reference AEX665. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-09-06 | 2014-09-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 — Advising on securities | 2010-04-08 | 2014-09-30 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2007-07-30 | 2014-09-30 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2007-07-30 | 2010-09-06 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2007-06-27 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-11-24 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-11-24 |