Chien Chih Chen
陳建智
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chien Chih Chen (陳建智), a licensed Responsible Officer with CE reference AKX325. Currently licensed at 2 firm(s): Capital Global Management Limited, First Securities (HK) Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 4 — Advising on securities | 2017-01-05 | present |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 9 — Asset management | 2017-01-05 | present |
| First Securities (HK) Limited 第一證券(香港)有限公司 |
RO | Type 9 — Asset management | 2009-08-03 | present |
| TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-02-09 | 2009-03-08 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
RO | Type 9 — Asset management | 2008-04-17 | 2009-01-01 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
RO | Type 4 — Advising on securities | 2007-10-08 | 2009-01-01 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2007-09-14 | 2007-10-08 |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2006-07-21 | 2007-08-15 |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
RO | Type 9 — Asset management | 2006-07-21 | 2007-08-15 |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2004-07-06 | 2006-07-21 |