Ernest Tsz Kin Chan
陳子建
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ernest Tsz Kin Chan (陳子建), a licensed Responsible Officer with CE reference AFX173. Currently licensed at 1 firm(s): CIS Securities Asset Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 17.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2023-07-11 | present |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 4 — Advising on securities | 2023-07-11 | present |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
RO | Type 9 — Asset management | 2023-07-11 | present |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2023-03-30 | 2023-07-11 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2023-03-30 | 2023-07-11 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 9 — Asset management | 2023-03-30 | 2023-07-11 |
| Sprout Asset Management (Asia) Limited | Rep | Type 1 — Dealing in securities | 2022-07-12 | 2023-02-20 |
| Sprout Asset Management (Asia) Limited | Rep | Type 4 — Advising on securities | 2022-07-12 | 2023-02-20 |
| Sprout Asset Management (Asia) Limited | Rep | Type 9 — Asset management | 2022-07-12 | 2023-02-20 |
| Sprout Asset Management (Asia) Limited | RO | Type 1 — Dealing in securities | 2019-06-10 | 2022-07-12 |
| Sprout Asset Management (Asia) Limited | RO | Type 4 — Advising on securities | 2019-06-10 | 2022-07-12 |
| Sprout Asset Management (Asia) Limited | RO | Type 9 — Asset management | 2019-06-10 | 2022-07-12 |
| Keptain Securities and Asset Management Limited 嘉騰證券及資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2013-01-24 | 2019-05-31 |
| Keptain Securities and Asset Management Limited 嘉騰證券及資產管理有限公司 |
RO | Type 9 — Asset management | 2013-01-24 | 2019-05-31 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
RO | Type 9 — Asset management | 2009-08-06 | 2010-03-16 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2007-09-12 | 2010-03-16 |
| OnePlatform Asset Management Limited 環一資產管理有限公司 |
Rep | Type 4 — Advising on securities | present | 2010-03-16 |