Janice Jhet Yen Chia
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Janice Jhet Yen Chia, a licensed Responsible Officer with CE reference AOY762. Currently licensed at 1 firm(s): RiverCircle Investments Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RiverCircle Investments Limited 合河投資有限公司 |
RO | Type 4 — Advising on securities | 2021-05-06 | present |
| RiverCircle Investments Limited 合河投資有限公司 |
RO | Type 9 — Asset management | 2021-05-06 | present |
| SBI China Capital Asset Management Limited 軟庫中華金融資產管理有限公司 |
Rep | Type 9 — Asset management | 2019-09-27 | 2021-04-23 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 1 — Dealing in securities | 2019-09-27 | 2021-04-23 |
| SBI China Capital Asset Management Limited 軟庫中華金融資產管理有限公司 |
RO | Type 4 — Advising on securities | 2019-09-27 | 2021-04-23 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2019-05-24 | 2019-09-27 |
| Fosun International Securities Limited 復星國際證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-08-13 | 2019-05-19 |
| Fosun International Securities Limited 復星國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-06-25 | 2019-05-19 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2018-02-08 | 2018-06-07 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2018-02-08 | 2018-06-07 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2017-09-08 | 2018-02-08 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
RO | Type 4 — Advising on securities | 2017-09-08 | 2018-02-08 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-12-07 | 2017-09-08 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-12-07 | 2017-09-08 |
| Oriental Patron Securities Limited 東英亞洲證券有限公司 |
RO | Type 1 — Dealing in securities | 2015-02-25 | 2015-11-29 |
| Oriental Patron Securities Limited 東英亞洲證券有限公司 |
RO | Type 4 — Advising on securities | 2015-02-25 | 2015-11-29 |
| Oriental Patron Securities Limited 東英亞洲證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-11-28 | 2015-02-25 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-20 | 2013-10-29 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-04-02 | 2010-08-24 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2007-05-28 | 2008-10-16 |