Chuanyao Chen
陳川堯
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chuanyao Chen (陳川堯), a licensed Responsible Officer with CE reference AYO724. Currently licensed at 1 firm(s): Rockflow Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 11.
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 |
|---|---|---|---|---|
| Rockflow Securities Limited 奇運證券有限公司 |
RO | Type 1 — Dealing in securities | 2026-03-23 | present |
| Rockflow Securities Limited 奇運證券有限公司 |
RO | Type 4 — Advising on securities | 2026-03-23 | present |
| Rockflow Securities Limited 奇運證券有限公司 |
RO | Type 9 — Asset management | 2026-03-23 | present |
| Summer Capital Management Company Limited 夏焱資本管理有限公司 |
RO | Type 1 — Dealing in securities | 2024-01-24 | 2024-09-11 |
| Summer Capital Management Company Limited 夏焱資本管理有限公司 |
RO | Type 4 — Advising on securities | 2024-01-24 | 2024-09-11 |
| Summer Capital Management Company Limited 夏焱資本管理有限公司 |
RO | Type 9 — Asset management | 2024-01-24 | 2024-09-11 |
| Summer Capital Management Company Limited 夏焱資本管理有限公司 |
Rep | Type 1 — Dealing in securities | 2020-07-06 | 2024-01-24 |
| Summer Capital Management Company Limited 夏焱資本管理有限公司 |
Rep | Type 4 — Advising on securities | 2018-12-10 | 2024-01-24 |
| Summer Capital Management Company Limited 夏焱資本管理有限公司 |
Rep | Type 9 — Asset management | 2018-12-10 | 2024-01-24 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2014-09-11 | 2018-09-11 |
| UBS Securities Hong Kong Limited | Rep | Type 6 — Advising on corporate finance | 2012-06-07 | 2014-06-28 |