Ka Yee Chan
陳家怡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yee Chan (陳家怡), a licensed Responsible Officer with CE reference AGK773. Currently licensed at 2 firm(s): Guotai Junan Securities (Hong Kong) Limited, Guotai Junan Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 31.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2026-05-06 | present |
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2026-05-06 | present |
| China Industrial Securities International Capital Limited 興證國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2023-03-20 | 2026-04-18 |
| China Industrial Securities International Capital Limited 興證國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2023-03-20 | 2026-04-18 |
| China Industrial Securities International Capital Limited 興證國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2023-03-10 | 2023-03-20 |
| China Industrial Securities International Capital Limited 興證國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2023-03-10 | 2023-03-20 |
| Optima Capital Limited 創越融資有限公司 |
RO | Type 1 — Dealing in securities | 2022-04-04 | 2023-02-01 |
| Optima Capital Limited 創越融資有限公司 |
RO | Type 4 — Advising on securities | 2022-04-04 | 2023-02-01 |
| Optima Capital Limited 創越融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2022-04-04 | 2023-02-01 |
| Optima Capital Limited 創越融資有限公司 |
Rep | Type 1 — Dealing in securities | 2022-03-18 | 2022-04-04 |
| Optima Capital Limited 創越融資有限公司 |
Rep | Type 4 — Advising on securities | 2022-03-18 | 2022-04-04 |
| Optima Capital Limited 創越融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-03-18 | 2022-04-04 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
RO | Type 1 — Dealing in securities | 2015-12-22 | 2021-09-07 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
RO | Type 4 — Advising on securities | 2015-12-22 | 2021-09-07 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2015-12-22 | 2021-09-07 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
RO | Type 1 — Dealing in securities | 2014-05-09 | 2015-06-30 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-05-09 | 2015-06-30 |
| GF Securities (Hong Kong) Brokerage Limited 廣發証券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2014-03-31 | 2014-05-09 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-03-31 | 2014-05-09 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2012-03-21 | 2013-10-18 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2012-03-21 | 2013-10-18 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-03-21 | 2013-10-18 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2012-01-03 | 2012-03-21 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-01-03 | 2012-03-21 |
| Shang International Finance Limited 尚融國際金融有限公司 |
RO | Type 1 — Dealing in securities | 2007-10-09 | 2011-12-19 |
| Shang International Finance Limited 尚融國際金融有限公司 |
RO | Type 4 — Advising on securities | 2007-10-09 | 2011-12-19 |
| Shang International Finance Limited 尚融國際金融有限公司 |
RO | Type 6 — Advising on corporate finance | 2007-10-09 | 2011-12-19 |
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 1 — Dealing in securities | present | 2007-10-09 |
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 4 — Advising on securities | present | 2007-10-09 |
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2007-10-09 |
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 9 — Asset management | present | 2004-09-17 |