Ricky Kai Ming Chan
陳啟明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ricky Kai Ming Chan (陳啟明), a licensed Responsible Officer with CE reference AOU629. Currently licensed at 1 firm(s): Grand China Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 31.
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 |
|---|---|---|---|---|
| Grand China Securities Limited 華業證券有限公司 |
RO | Type 1 — Dealing in securities | 2025-10-13 | present |
| Grand China Securities Limited 華業證券有限公司 |
RO | Type 4 — Advising on securities | 2025-10-13 | present |
| Grand China Securities Limited 華業證券有限公司 |
RO | Type 9 — Asset management | 2025-10-13 | present |
| Grand China Securities Limited 華業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2025-09-16 | 2025-10-13 |
| Grand China Securities Limited 華業證券有限公司 |
Rep | Type 4 — Advising on securities | 2025-09-16 | 2025-10-13 |
| Grand China Securities Limited 華業證券有限公司 |
Rep | Type 9 — Asset management | 2025-09-16 | 2025-10-13 |
| Pantheon Securities Limited 全利證券有限公司 |
RO | Type 1 — Dealing in securities | 2022-05-11 | 2025-07-31 |
| Fenghua Asset Management Limited 豐華資產管理有限公司 |
RO | Type 4 — Advising on securities | 2019-12-12 | 2025-06-16 |
| Fenghua Asset Management Limited 豐華資產管理有限公司 |
RO | Type 9 — Asset management | 2019-12-12 | 2025-06-16 |
| OCI Asset Management Company Limited 東建資產管理有限公司 |
RO | Type 4 — Advising on securities | 2018-05-09 | 2019-04-05 |
| OCI Asset Management Company Limited 東建資產管理有限公司 |
RO | Type 9 — Asset management | 2018-05-09 | 2019-04-05 |
| Sinostar Asset Management Limited 華星資產管理有限公司 |
RO | Type 9 — Asset management | 2017-02-28 | 2018-02-17 |
| Sinostar Securities Limited 華星證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-21 | 2018-02-17 |
| Sinostar Asset Management Limited 華星資產管理有限公司 |
RO | Type 4 — Advising on securities | 2016-11-02 | 2018-02-17 |
| Zynergy Asset Management Limited 晟智資產管理有限公司 |
RO | Type 9 — Asset management | 2013-10-10 | 2016-06-10 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-10-07 | 2013-09-14 |
| Ark Futures (Hong Kong) Limited 同舟期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-10-07 | 2013-09-14 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-10-07 | 2013-09-14 |
| Ark Futures (Hong Kong) Limited 同舟期貨（香港）有限公司 |
Rep | Type 5 — Advising on futures contracts | 2011-10-07 | 2013-09-14 |
| Ark Securities (Hong Kong) Limited 同舟證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2011-10-07 | 2013-09-14 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-11-24 | 2011-10-01 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-11-24 | 2011-10-01 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2008-11-24 | 2011-10-01 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 5 — Advising on futures contracts | 2008-11-24 | 2011-10-01 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2008-11-24 | 2011-10-01 |
| Haitong International Investment Managers Limited 海通國際投資經理有限公司 |
Rep | Type 9 — Asset management | 2008-11-24 | 2011-10-01 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-08-28 | 2008-04-04 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-08-28 | 2008-04-04 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2007-04-13 | 2008-04-04 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 5 — Advising on futures contracts | 2007-04-13 | 2008-04-04 |
| Haitong International Asset Management Limited 海通國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2007-04-13 | 2008-04-04 |