Dennis Kwok Fung Chan
陳國峰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dennis Kwok Fung Chan (陳國峰), a licensed Responsible Officer with CE reference AMK236. Currently licensed at 3 firm(s): Carlyon Securities Limited, Carlyon Asset Management Limited, Carlyon Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 14.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Carlyon Securities Limited 格理昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2025-08-08 | present |
| Carlyon Asset Management Limited 格理昂資產管理有限公司 |
RO | Type 4 — Advising on securities | 2025-08-08 | present |
| Carlyon Capital Limited 格理昂資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2025-08-08 | present |
| Lego Securities Limited 力高證券有限公司 |
RO | Type 1 — Dealing in securities | 2022-08-01 | 2025-02-12 |
| Lego Corporate Finance Limited 力高企業融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2022-08-01 | 2025-02-12 |
| Lego Securities Limited 力高證券有限公司 |
Rep | Type 1 — Dealing in securities | 2022-05-25 | 2022-08-01 |
| Lego Corporate Finance Limited 力高企業融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2022-05-25 | 2022-08-01 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2020-11-16 | 2022-04-08 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2020-11-16 | 2022-04-08 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2020-11-16 | 2022-04-08 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-01-14 | 2020-11-16 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-01-14 | 2020-11-16 |
| SMBC Nikko Securities (Hong Kong) Limited 日興證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-01-14 | 2020-11-16 |
| Deloitte & Touche Corporate Finance Limited 德勤企業財務顧問有限公司 |
Rep | Type 6 — Advising on corporate finance | 2005-10-12 | 2009-03-01 |