Sophia Sok Yin Chan
陳淑妍
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sophia Sok Yin Chan (陳淑妍), a licensed former licensee with CE reference ABE984. This person has 5.7 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Redford Securities Limited 泓福證券有限公司 |
RO | Type 1 - Dealing in securities | 2011-10-18 | 2011-12-29 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-09-30 | 2009-10-28 |
| CSC Financial Services Limited 群益金融服務有限公司 |
RO | Type 1 - Dealing in securities | 2008-08-21 | 2009-10-28 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2008-08-21 | 2009-10-28 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-07-25 | 2008-08-21 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2007-03-13 | 2008-07-16 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2006-11-24 | 2007-03-13 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2006-07-04 | 2006-11-01 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2006-07-04 | 2006-11-01 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2003-12-16 | 2006-03-11 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-12-16 | 2006-03-11 |
| First Shanghai Securities Limited 第一上海證券有限公司 |
Rep | Type 1 - Dealing in securities | 2003-11-18 | 2003-11-19 |
| First Shanghai Futures Limited 第一上海期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2003-11-18 | 2003-11-19 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Sophia Sok Yin Chan during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.