Simon Siu Man Chan
陳兆文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Simon Siu Man Chan (陳兆文), a licensed former licensee with CE reference AOU037. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-07-12 | 2015-11-16 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2013-07-12 | 2015-11-16 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2013-07-12 | 2015-11-16 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2013-07-12 | 2015-11-16 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2013-07-12 | 2015-11-16 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 9 — Asset management | 2013-07-12 | 2015-11-16 |
| BCT Financial Limited 銀聯金融有限公司 |
Rep | Type 1 — Dealing in securities | 2012-02-13 | 2013-06-21 |
| BCT Financial Limited 銀聯金融有限公司 |
Rep | Type 4 — Advising on securities | 2012-02-13 | 2013-06-21 |
| AXA China Region Investment Services Limited 安盛投資服務有限公司 |
Rep | Type 4 — Advising on securities | 2008-09-25 | 2012-01-02 |
| MIS Services Limited | Rep | Type 9 — Asset management | 2007-10-22 | 2008-06-30 |
| St. James's Place (Hong Kong) Limited |
Rep | Type 4 — Advising on securities | 2007-05-09 | 2007-09-12 |