Chi Kwan Yan
顏志軍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Kwan Yan (顏志軍), a licensed Responsible Officer with CE reference AGL147. Currently licensed at 2 firm(s): Quam Asset Management Limited, Quam Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 34.
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 |
|---|---|---|---|---|
| Quam Asset Management Limited 華富建業資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2020-02-25 | present |
| Quam Securities Limited 華富建業證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-11-27 | present |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
RO | Type 4 — Advising on securities | 2018-08-31 | present |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
RO | Type 9 — Asset management | 2018-08-31 | present |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-08-17 | 2018-11-27 |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2018-06-04 | 2018-08-31 |
| Quam Asset Management Limited 華富建業資產管理有限公司 |
Rep | Type 9 — Asset management | 2018-06-04 | 2018-08-31 |
| CMBC Asset Management Company Limited 民銀資產管理有限公司 |
RO | Type 9 — Asset management | 2017-12-21 | 2018-04-25 |
| CMBC International Securities Limited 民銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-30 | 2018-04-25 |
| CMBC International Securities Limited 民銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2016-11-30 | 2018-04-25 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-09-14 | 2013-11-22 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
RO | Type 4 — Advising on securities | 2012-02-03 | 2013-11-22 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
RO | Type 9 — Asset management | 2012-02-03 | 2013-11-22 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-01-17 | 2012-09-14 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2011-11-30 | 2012-02-03 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2011-11-30 | 2012-02-03 |
| Guo Tong Capital Management Company Limited 國通資本管理有限公司 |
Rep | Type 4 — Advising on securities | 2010-12-01 | 2011-10-31 |
| Guo Tong Capital Management Company Limited 國通資本管理有限公司 |
Rep | Type 9 — Asset management | 2010-12-01 | 2011-10-31 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-06-29 | 2010-07-01 |
| GF Asset Management (Hong Kong) Limited 廣發資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2010-06-29 | 2010-07-01 |
| GIP Partners Limited | RO | Type 4 — Advising on securities | 2009-01-16 | 2009-12-10 |
| GIP Partners Limited | RO | Type 9 — Asset management | 2009-01-16 | 2009-12-10 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 9 — Asset management | 2006-03-23 | 2007-05-01 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 1 — Dealing in securities | 2006-03-21 | 2007-05-01 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 4 — Advising on securities | 2006-03-21 | 2007-05-01 |
| Superfund Financial (Hong Kong) Limited 瑞柏投資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-02-18 | 2006-02-15 |
| Superfund Financial (Hong Kong) Limited 瑞柏投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-02-18 | 2006-02-15 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 1 — Dealing in securities | present | 2004-09-09 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-09-09 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 4 — Advising on securities | present | 2004-09-09 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-08-09 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 6 — Advising on corporate finance | present | 2004-08-09 |
| Legg Mason Asset Management Hong Kong Limited 美盛資產管理香港有限公司 |
Rep | Type 9 — Asset management | present | 2004-08-09 |
| Legg Mason International Equities (Hong Kong) Limited 美盛國際股票(香港)有限公司(以匯琛;匯琛新興巿場資產管理名義經營業務) |
Rep | Type 9 — Asset management | present | 2004-08-09 |