Yao (SFC:AWV323) Chen
陳鷂
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yao (SFC:AWV323) Chen (陳鷂), a licensed former licensee with CE reference AWV323. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-02-22 | 2017-01-13 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-02-22 | 2012-04-05 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2011-02-22 | 2017-01-13 |
| BOCI Asset Management Limited 中銀國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2011-02-22 | 2012-04-05 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-02-22 | 2012-04-05 |